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.
John Stuart Crain, Formerly of Summit Brokerage Services, Suspended by FINRA Following Allegations That He Altered Documents
Crain consented to a three-month suspension and a $5,000 fine [...]
Herbert Hafen, Formerly of Morgan Stanley, Charged with Misappropriating Client Funds
The SEC entered a final consent judgment against Hafen, who [...]
Jerry Szilagyi, CEO of Catalyst Capital Advisors, Sanctioned by SEC Regarding Material Misstatements and Omissions
CCA allegedly made misrepresentations to investors in their Hedged Futures [...]
Matthew Baltz, Formerly of Cambridge Investment Research, Facing Customer Dispute Alleging Variable Annuity Losses
The allegations against Baltz claim that he misrepresented variable annuity [...]
Bart Bohrer, Formerly of Capital Financial Services, Named in Customer Disputes Totaling Over $1M
The allegations against Bohrer include breach of fiduciary duties, violations [...]
Jacquin Fink, Formerly of Merrill Lynch, Subject of Eight Customer Complaints Regarding Unsuitable Recommendations
Thomas allegedly engaged in outside business activities through a company [...]
James T. Flynn, Formerly of Voya Financial, Has Received Over 45 Customer Complaints Since 2018
Disambiguation Notice: This post contains information related to James Travis [...]
Raymond Thomas, Formerly of Network 1 Financial Securities, Named in FINRA Complaint Alleging Participation in Unauthorized Outside Business Activities GalleryRaymond Thomas, Formerly of Network 1 Financial Securities, Named in FINRA Complaint Alleging Participation in Unauthorized Outside Business Activities
Raymond Thomas, Formerly of Network 1 Financial Securities, Named in FINRA Complaint Alleging Participation in Unauthorized Outside Business Activities
Thomas allegedly engaged in outside business activities through a company [...]
Imran Razvi, Formerly of Lincoln Financial, Suspended by FINRA Following Allegations of Unauthorized Business Activities
The unauthorized business activity allegedly was related to the Woodbridge [...]
