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.
Former Morgan Stanley Broker Kirk J. Crossen Faces FINRA Complaint Over $400,000 in Undisclosed Loans from Elderly Client
Kirk J. Crossen (CRD #2742256), a former broker registered with [...]
Broker Randall Duggan Investigated by Washington Regulators Amid Multiple Investor Complaints
Randall E. Duggan (CRD #5559097), a broker and investment adviser [...]
Former Broker Brian R. Marston Under FINRA Investigation for Alternative Investment Recommendations
Former broker Brian Richard Marston (CRD #733083), previously registered with [...]
FINRA Targets Spartan Capital’s Kim Monchik for Disclosure Failures and Rule Violations
Regulatory actions and customer complaints continue to mount against Spartan [...]
Merrill Lynch Broker Michael F. Ginestro Faces $2.4 Million Pending Customer Dispute
Michael F. Ginestro (CRD #2468911), a long-time Merrill Lynch broker [...]
$450K Dispute Filed Against J.P. Morgan Broker Richard Ciraco
J.P. Morgan broker Richard M. Ciraco (CRD #825969) is once [...]
Broker Ford Gray Keeler Faces $210K Pending Customer Dispute Over Alternative Investments
Ford Gray Keeler (CRD# 1696709), a financial advisor currently with [...]
Former MML Investors Services Broker Jihoon Park Faces Suspension and $2.6M Customer Complaint
Jihoon Park (CRD #6535514), a former broker with MML Investors [...]
Edward Jones Broker Zwi Anthony Pechthalt Faces Multiple Customer Complaints
Edward Jones broker Zwi Anthony Pechthalt (CRD #2422846) is facing [...]
