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.
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 [...]
FINRA Accuses Synapse Brokerage Executives of Failures Tied to $2 Billion Fintech Platform
Two former Synapse Brokerage executives are facing a Financial Industry [...]
FINRA Files Complaint Against Broker James Thaddeus Walesa Over Refusal to Cooperate
Former broker James Thaddeus Walesa (CRD #1061209) is facing a [...]
Broker Ali Chehab Faces FINRA Complaint for Failing to Provide Requested Documents
The Financial Industry Regulatory Authority (FINRA) has filed a complaint [...]
FINRA Alleges Brokers Refused to Testify in Investigation Into Penny Stock Transactions
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
