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.
Anthony Sica, Broker for Joseph Gunnar & CO., Facing $750k Customer Dispute
A customer filed a dispute against Sica based on allegations [...]
James Flower, Formerly of SW Financial, Facing Allegations of Churning and Excessive Trading
Flower was named in a FINRA complaint alleging unauthorized trades [...]
Steve Jun Lu, Formerly of JP Morgan, Barred by FINRA Following Allegations He Attempted to Mislead Elderly Woman
Lu allegedly was named as the beneficiary of 75 percent [...]
Timothy Hetrick, Formerly of US Brokerage, Barred by FINRA After Refusing to Appear for Testimony
Hetrick was being investigated by FINRA in connection with allegations [...]
Alexander James, Formerly of Voya Financial, Suspended for One Year Over Alleged Unapproved Outside Business Activity
James allegedly formed and incorporated a company and failed to [...]
Patrick Coogan, Formerly of LPL Financial, Barred by FINRA Following Allegations He Made “Reckless Misrepresentations” in Agreements
Coogan allegedly misrepresented material facts in agreements he signed in [...]
Ashley Martin, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Altering Customer Forms
Martin was barred after failing to respond to two requests [...]
Halil Kozi, Formerly of Windsor Street Capital, Suspended by FINRA Following Allegations of Excessive Trading
Kozi, who had worked at 18 firms since 1987, has [...]
Frederic O’Hara, Formerly of Sagepoint Financial, Suspended by FINRA Over Allegations He Engaged in Unapproved Outside Business Activities
O’Hara consented to a nine-month suspension and a $10,000 fine [...]
