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.
Jason Hawke, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Since 2010
Hawke has been the subject of eight customer disputes, two [...]
Jeffrey Wiseman, Formerly of Morgan Stanley, Named in FINRA Arbitration Filed by Former NBA All-Star Chris Bosh
Bosh alleged fraud, breach of contract, and failure to supervise, [...]
Brian Frank, Broker for Ascendant Alternative Strategies, Facing $250,000 Customer Dispute Over Alleged Unsuitability and Misrepresentation
Frank has been the subject of two other customer disputes [...]
Michael Sievert, Financial Advisor with Arkadios Capital, Named in Customer Disputes Regarding GPB Capital Holdings
One customer is seeking $700,000 in damages over GPB private [...]
John Harman, Formerly of Berthel Fisher and Royal Alliance, Suspended by FINRA for Violating FINRA Rule 2010
Harman allegedly directed customers to sign blank or incomplete minimum [...]
Elias Hafen, Formerly of Wells Fargo and Morgan Stanley, Sentenced to 30 Months in Prison for Fraud
Hafen allegedly defrauded clients out of more than $1.6 million. [...]
Gus Marwieh, President of Marwieh Advisory Services, Has Registration Revoked by Texas Securities Board
Marwieh is accused of selling more than $5 million in [...]
Daniel Castoriano, Formerly of Century Securities Associates, Suspended by FINRA for Failure to Provide Information
Castoriano was under investigation by FINRA based on allegations of [...]
Mason Gann, Formerly of Berthel Fisher, Suspended by FINRA Over Alleged Unsuitable Investments
Gann allegedly recommended high-risk investments to an elderly retiree. The [...]
