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.
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 [...]
David Hu, Co-Founder of International Investment Group, Charged in Alleged Ponzi Scheme
The SEC charged Hu with fraud and other violations in [...]
