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.
Timothy Atyeo, Broker for Oppenheimer & Co., Named in Customer Dispute Seeking $1.1M
The claimants accused Atyeo of negligence and breach of fiduciary [...]
James Kennedy, Formerly of Woodbury Financial, Barred by FINRA After Refusing to Provide Information
FINRA requested information and documents from Kennedy in connection with [...]
Bryan Benson, Formerly of Wells Fargo, Barred by FINRA After Refusing to Provide Information
FINRA requested information and documents from Benson in connection with [...]
Charles Doraine, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Testimony
Doraine was being investigated by FINRA for unsuitable recommendations. The [...]
Donald J. Kellen, Independent Advisor with Laurel Wealth Advisors, Charged by SEC with Conducting “Cherry-Picking” Scheme
The SEC’s complaint alleges that Kellen defrauded his clients over [...]
Bradley Reifler, Formerly of Forefront Capital Markets, Named in Complaint Filed by SEC
The SEC accused Mr. Reifler of fraud and misappropriating client [...]
Cindy Chiellini, Broker for Centaurus Financial, Inc., Subject of Twelve Pending Customer Disputes
The disputes allege misconduct ranging from negligence to unsuitable investment [...]
Michael Reither, Formerly of First Allied Securities, Accused of Dishonest or Unethical Conduct by Missouri Securities Division
Reither is accused of borrowing money from a customer while [...]
Joseph Roop, Formerly of Kalos Capital, Named in Customer Dispute Seeking $450,000
Roop allegedly recommended unsuitable investments in alternative securities. The Sonn [...]
