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.
Louis Cook, Formerly of National Planning Corp., Barred by FINRA for Making Intentional Misrepresentations to Customers
Cook allegedly made intentional misrepresentations regarding the Department of Labor’s [...]
Andre Pierre Davis, Formerly of First Standard Financial, Barred by FINRA for Refusing to Produce Information and Documents
FINRA was conducting an investigation of Davis based on allegations [...]
Mark Trewitt, Formerly of VFG Securities, Named in Numerous Customer Disputes Alleging Overconcentration and Unsuitable Recommendations
Trewitt has been named in eighteen customer disputes between 2014 [...]
Clement Chichester, Formerly of Western International Securities, Named in $100K Settlement for Broker Misconduct
Chichester was alleged to have breached fiduciary duty, made unsuitable [...]
Daniel Saur, Formerly of Kalos Capital, Named in Customer Disputes Alleging Unsuitable Recommendations
Daniel Saur (CRD#: 2424518) was a registered representative for Kalos [...]
Travis Lippmann, Formerly of Newbridge Securities, Accused of Unsuitable Investment Recommendations
Lippmann faces two customer complaints totaling $650K over alleged unsuitable [...]
Christopher Shaw, Formerly of Kalos Capital, Facing Customer Dispute Concerning Sale of GPB Capital Investments
Shaw was named in a dispute seeking $350,000 in damages [...]
E. Kyle Davis, Formerly of Raymond James & Associates, Named in Customer Dispute Seeking $500,000 in Damages
The complaint is regarding unit investment trusts (UITs) and alleges [...]
Terrence Bonk, Formerly of Feltl & Co., Suspended by FINRA Following Allegations He Borrowed Money from a Customer
Bonk allegedly accepted a loan from a customer of his [...]
