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.
Arthur Hoffman, Formerly of Ameriprise Financial, Barred by FINRA For Failing to Cooperate with Investigation
FINRA was investigating Hoffman based on allegations of participating in [...]
Steven Luftschein, Formerly of Aegis Capital, Accused by FINRA of Churning and Unauthorized Trading
Luftschein is also named in a $200K customer complaint alleging [...]
Ambassador Advisors and its Principals Charged by SEC for Breaching Fiduciary Duties
Bernard Bostwick, Robert Kauffman, and Adrian Young, the principals of [...]
Todd Avery, Advisor for Rite Financial Group, Under Investigation by Kentucky Department of Financial Institutions
The Department is investigating allegations that Avery sold unregistered promissory [...]
Frank Avallone, Broker for National Securities, Named in Two Customer Disputes Alleging Unsuitable Investments
The combined damages being sought in the two disputes is [...]
Donald Woods, Formerly of LPL Financial, Suspended by FINRA After Allegations He Falsified Records
Donald Woods is also accused of making unsuitable investment recommendations, [...]
Timothy Kenska, Advisor for Citigroup Global Markets, Named in Customer Dispute Seeking $150K
The claimants allege material misrepresentations and unsuitability, among other claims [...]
David Krumrey, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Breach of Fiduciary Duty
The claimants are seeking $300,000 in damages for Krumrey’s alleged [...]
Jeffrey Vanover, Broker for Hilltop Securities, Accused of Making Unsuitable Investment Recommendations
Vanover was named in a customer dispute alleging that Vanover [...]
