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.
Christopher Pullaro, Broker for Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
Pullaro’s customers allege that he recommended an unsuitable alternative investment. [...]
Joseph LaForte, Founder of Par Funding, Arrested on Weapons Charges
The founder of the alleged fraudulent scheme, arrested after FBI [...]
Jack Brewer, Formerly of Brewer Capital Management, Charged by SEC with Insider Trading
The SEC alleges that Brewer sold over $100,000 in stock [...]
Sylvester Knox, Formerly of Merrill Lynch, Suspended by FINRA for Alleged Unauthorized Trading and Failing to Disclose Felony Indictment
Knox is accused of treating accounts as discretionary without customer [...]
Raymond Ferro – Ex-Woodbury Financial Broker – Faces Allegations of Theft
Raymond Ferro of Danbury Connecticut allegedly wrongfully transferred $330,000 from [...]
Christopher Bennett, Formerly of Hilliard Lyons, Barred by FINRA After Failing to Provide Documents
Bennett has been the subject of fifteen customer disputes throughout [...]
Frederick Levine, Broker with RBC Capital Markets, Suspended by FINRA Following Allegations of Unsuitable Recommendations
Former customers alleged that they incurred unnecessary sales charges because [...]
Joseph Michaletz, Broker with DAI Securities, Facing Customer Disputes Over GPB Capital Investments
Former customers are seeking millions in damages alleging that Michaletz’s [...]
Charles Kulch, Formerly of Next Financial Group, Accusing of Over-Concentrating Portfolios
Kulch was named in a civil action brought by the [...]
