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.
Charles Kulch, Formerly of Next Financial Group, Accusing of Over-Concentrating Portfolios
Kulch was named in a civil action brought by the [...]
Stephen Sloane, Broker for Westpark Capital, Charged by FINRA with Recommending Unsuitable Investment Strategies
Sloane allegedly recommended unsuitable investment strategies to retail customers. The [...]
Bryant Caveness, Formerly of Ameriprise Financial Services, Barred by FINRA Over Ethics Violations
Melilli is accused of unauthorized trading and recommending unsuitable investments. [...]
Mark Hopkins, Formerly of American Portfolios Financial Services in Michigan, Charged by SEC with Misappropriating Client Funds
Mark Hopkins of Grand Blanc Michigan allegedly misappropriated over $1 [...]
Robert Buffington, Formerly of Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
One client alleged that Buffington made unsuitable recommendations and violated [...]
Scot Fairchild, Broker with Lucia Securities, Named in Customer Dispute Seeking Over $200K in Damages
Fairchild is accused of a wide array of misconduct. The [...]
Thomas Kelly Jr., Broker with Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
Kelly is currently facing three pending customer disputes seeking a [...]
James Daughtry, Formerly of Kestra Investment Services, Sued for Alleged Fraud and Theft
Daughtry was barred by FINRA in March 2020 after refusing [...]
Gene Esplin, Formerly of Kalos Capital, Named in Customer Dispute Seeking $1M in Damages
The former client accused Esplin of making unsuitable recommendations in [...]
