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.
Robert D’Andria, Broker for International Asset Advisory, LLC, Suspended by FINRA for Two Months
D’Andria allegedly recommended unsuitable NT-ETPs to his clients. The Sonn [...]
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 [...]
