Browse Investment Loss News Related to Brokers, Advisors, and Firms
Our primary blog addresses a wide spectrum of investor-related issues; this section focuses specifically on investment losses tied to brokers, advisors, and financial firms.
Robert Gianchiglia, Advisor for USA Financial Securities, Named in $200K Customer Complaint Alleging Misrepresentation
The customer is seeking damages based on allegations of misrepresentation [...]
Mark Wojno, Formerly of Berthel, Fisher & Company, Accused of Recommending Unsuitable Investments
Wojno is facing allegations that he recommended unsuitable investments to [...]
Mary Martinez, Financial Adviser of Glencoe, Indicted on Fraud Charges
Martinez was indicted on ten charges of wire fraud in [...]
Forouzan Pooladi, Formerly of JP Morgan, Barred by FINRA After Failing to Cooperate
FINRA began its investigation of Pooladi after allegations of converting [...]
Ross Barish, Broker with Joseph Stone Capital, Charged with Fraud by SEC
Barish is accused of defrauding sixteen retail customers. The Sonn [...]
Kevin Gunnip, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Unsuitable Short-Term Trading
Gunnip’s former employer, Morgan Stanley, was fined $950K for failing [...]
Ernest Mishne, Broker with Oppenheimer & Co., Named in Pending Complaint Seeking $440K
Mishne is accused of breach of fiduciary duty, unsuitable recommendations, [...]
Daniel Pimental, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
Pimental was also accused of unauthorized trading and churning. The [...]
Christopher Reid, Formerly of Morgan Stanley, Suspended Following Allegations of Outside Trading
Reid is accused of participating in private securities transactions in [...]
