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.
Eric Silvestre, Formerly of JP Morgan, Resigned While Under Internal Investigation
Silvestre allegedly exercised discretion in non-discretionary investment accounts, among other [...]
Stuart Godin, Formerly of RBC Capital Markets, Subject of Multiple Customer Disputes
Godin was recently named in a customer dispute that was [...]
John Chrysadakis, Formerly of Northwestern Mutual, Barred by FINRA Following Refusal to Provide Information
FINRA was investigating Chrysadakis for alleged fraudulent activity. The Sonn [...]
Bradley Renberg, Broker for Ameriprise Financial, Accused of Unsuitable Recommendations
Renberg is being investigated regarding customer complaints alleging that he [...]
Shlomo Strugano, Formerly of First Allied Securities, Barred by FINRA Amid Allegations of Forgery
Strugano’s former firm filed a FormU5 stating that they were [...]
Kristian Finfrock, Registered Representative for Kalos Capital, Sued for Wrongful Sale of GPB Capital Investments
Kalos Capital and Finrock face claims for the wrongful sale [...]
Gabriel Hynes, Formerly of Kestra and NYLife, Barred by FINRA After Failing to Comply with Investigation
Hynes was being investigated regarding his sale of Future Income [...]
John Hoidas, Currently of Uhlmann Price Securities, Accused of Selling GPB Capital Investments
Hoidas is facing multiple customer complaints alleging sales practice violations. [...]
Clint Keener, Formerly of Capital City Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations
Keener is accused of recommending unsuitable investments. The Sonn Law [...]
