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.
Christopher Barone, Formerly of America Northcoast Securities, Barred by FINRA for Multiple Violations
Barone allegedly altered documents that he had to produce to [...]
Kerry Wills, Registered Representative with First Western Securities, Suspended by FINRA for Borrowing Money from Elderly Customer
Wills allegedly borrowed $150,000 and accepted $19,500 in luxury travel [...]
Edward Matthes, Formerly of Mutual of Omaha, Consented to Fraud Charges from the SEC
Matthes was barred by the Wisconsin Department of Financial Institutions [...]
Michele Boyer, Formerly of Concorde Investment Services, Named in Allegations of Non-Traded REIT and Energy Sector Losses
A former client alleged that Boyer recommended unsuitable investments in [...]
Michael Pellegrino, Formerly of Taylor Capital Management, Named in Allegations of Northstar REIT Losses
A former client alleged that Pellegrino solicited investments in Northstar [...]
Robert Spiegel, Formerly of First Standard Financial Company, Suspended Over Allegations of Excessive Trading
Speigel was also fined $5,000 and ordered to pay restitution [...]
Andrew Krakaur, Broker for Axa Advisors, LLC Named in FINRA Arbitration for Corporate Capital Trust and Northstar REIT Losses
A former client alleges losses due to unsuitable investments in [...]
Enrique Lopez, Formerly of LPL Financial, Facing Allegations of Unsuitable, Over-Concentrated Investments
Lopez is facing a customer complaint over losses in Northstar [...]
Michael Leahy, Formerly of Standard Financial Company, Barred by FINRA for Allegedly Failing to Supervise a Former Registered Representative
Leahy was the sole principal and compliance officer of Standard [...]
