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.
Susan Penney, Broker for Kovack Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The customers are seeking $500k in damages based on the [...]
David Austin, Formerly of JP Morgan, Barred by FINRA Following Allegations He Stole $144K from Customers
FINRA alleged that Austin converted funds of three customers by [...]
Dee Dee Brooks, Formerly of Signator Investors, Barred by FINRA Following Unapproved and Undisclosed Outside Business Activities
Brooks was formerly accused by a customer of recommending investments [...]
Joe Allbright, Formerly of Farmers Financial Solutions, Suspended Following Allegations He Engaged in Unauthorized Private Securities Transactions GalleryJoe Allbright, Formerly of Farmers Financial Solutions, Suspended Following Allegations He Engaged in Unauthorized Private Securities Transactions
Joe Allbright, Formerly of Farmers Financial Solutions, Suspended Following Allegations He Engaged in Unauthorized Private Securities Transactions
Allbright consented to a nine-month suspension and fine of $10,000. [...]
Matthew Muratori, Formerly of Pruco Securities, Barred by FINRA for Failing to Provide Testimony
On June 8, 2020, Matthew Muratori (CRD#:6255633) was barred by [...]
Arni Diamond, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The customer is seeking $200k in damages for Diamond’s alleged [...]
Kevin Dziubela, Broker for National Securities, Expunged Customer Disputes Alleging Unsuitable Investment Recommendations
The financial advisor sued his employer National Securities Corporatin, to [...]
Losses in MLP or Other Energy Investments, Including With Robert J. Donovan at UBS?
According to FINRA’s “Brokercheck”, Robert J. Donavan (from the Boston [...]
Hugh Barndollar III, Broker for Crown Capital Securities, Named in Customer Disputes Regarding Alternative Investments
The disputes are seeking a combined total of $200K. The [...]
