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.
Richard Kelton, Formerly of Northwestern Mutual Investment Services, Named in Customer Dispute Seeking Over $690K
Kelton allegedly made investment recommendations that were unsuitable for the [...]
Atul Makharia, Broker with Centaurus Financial, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
One customer is seeking $600k in damages based on allegations [...]
Dennis Haywood II, Formerly of Crown Capital Securities, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations
Haywood has four pending customer disputes currently seeking over $800k [...]
Frank Venturelli, Formerly of First Standard Financial Company, Suspended by FINRA Following Allegations of Excessive Trading
Venturelli consented to a $30k fine and an 11-month suspension. [...]
Ryan Bowers, Formerly of Enviso Capital, Named in Multiple Customer Disputes Alleging Misrepresentation
Bowers was barred by the SEC in July 2017. The [...]
Ralph Jackson, Broker with Morgan Stanley, Named in Multiple Customer Disputes
Jackson has been accused on multiple occasions of recommending unsuitable [...]
Dennis Mehringer Jr., Formerly of Western International Securities, Named in $3M Customer Dispute
Mehringer was barred by FINRA in 2019 following allegations of [...]
David Atlee, Formerly of Triad Advisors, Accused of Unsuitable Recommendations in GPB Capital Holdings
The claimant alleged that Atlee sold unsuitable investments in GPB [...]
Albert Dishner, Broker for Morgan Stanley, Fined and Suspended by FINRA
FINRA alleged that Dishner engaged in discretionary trading in a [...]
