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.
FINRA Accuses Synapse Brokerage Executives of Failures Tied to $2 Billion Fintech Platform
Two former Synapse Brokerage executives are facing a Financial Industry [...]
FINRA Files Complaint Against Broker James Thaddeus Walesa Over Refusal to Cooperate
Former broker James Thaddeus Walesa (CRD #1061209) is facing a [...]
Broker Ali Chehab Faces FINRA Complaint for Failing to Provide Requested Documents
The Financial Industry Regulatory Authority (FINRA) has filed a complaint [...]
FINRA Alleges Brokers Refused to Testify in Investigation Into Penny Stock Transactions
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
Indiana Broker Jason Michael Poschinger Suspended by FINRA for Taking Confidential Client Data
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
Connecticut Broker Anthony Neil Wenham Suspended by FINRA for Concealing Losses
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
Illinois Broker Linda Sokol Francis Barred by FINRA for Failing to Cooperate with Investigation
Learn why FINRA recently barred Jordan Paul Meadow after refusing to provide testimony in an investigation into an alleged insider trading scheme.
Jordan Paul Meadow Barred by FINRA Over Alleged Insider Trading
Learn why FINRA recently barred Jordan Paul Meadow after refusing to provide testimony in an investigation into an alleged insider trading scheme.
Second Circuit Upholds ERISA Protections in Morgan Stanley Deferred Comp Dispute
Learn why the Second Circuit’s ruling on Morgan Stanley’s deferred comp plan is a win for advisors, and how Sonn Law Group can help if you've been affected.
