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.
Dustin Shafer, Formerly of Money Concepts Capital, Named in Multiple Customer Disputes Seeking Over $500K
Shafer is accused of unsuitable recommendations, misrepresentations and omissions, and [...]
Scott Reed, Broker for First Financial Equity, Resigns from Wells Fargo Following Allegations of Selling Away
Reed was also named in a customer dispute alleging unsuitable [...]
James Kirchner, Formerly of David A. Noyes & Company, Accused of Making Unsuitable Investment Recommendations
Kirchner allegedly recommended alternative investments that were not suitable for [...]
Kevin Rainwater, Broker for Arkadios Capital, Accused of Recommending Unsuitable Investments
Rainwater is named in three pending customer disputes alleging unsuitable [...]
Jeffrey McHale, Broker for Ameriprise Financial Services, Accused of Recommending Unsuitable Investments
McHale allegedly recommended unsuitable investments in pharmaceutical and biotech stocks. [...]
Eladio Santiago, Formerly of UBS Financial, Named in Two Customer Disputes Alleging Unsuitability
One of the disputes is seeking $350K in damages. The [...]
Have You Suffered Losses Investing with Merrill Lynch Broker Charles E. Kenahan?
Former Merrill Lynch Broker Charles E. Kenahan Faces $83M in [...]
James Flanagan, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $100K
The client alleged that Flanagan’s actions resulted in losses. The [...]
William Frier, Formerly of Parkland Securities, Accused of Recommending Leveraged ETFs
Frier is named in a customer dispute alleging unexplainable losses [...]
