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.
Jeffrey Dixson, Currently of Madison Avenue Securities, Facing Customer Complaint Concerning GPB Capital Investments
Dixson is accused of recommending alternative investments that were unsuitable [...]
John Cahill, Formerly of Janney Montgomery Scott, Barred for Failing to Comply with FINRA Investigation
Cahill was under investigation by FINRA based on allegations that [...]
Roberto Fernandez, Broker for Merrill Lynch, Accused of Unsuitable Investment Recommendations
Fernandez was named in numerous customer complaints alleging unsuitable recommendations [...]
Gary Imel, Formerly of Ameriprise Financial, Facing Investigation Over GPB Capital Losses
Imel is accused of recommending unsuitable investments in GPB Capital [...]
Keith Springer, Owner of Springer Financial Advisors, Charged with Fraud by SEC
The Sacramento-based radio host and his company have been charged [...]
Thomas Connerton, CEO of Safety Tech, Accused of Defrauding over 70 Investors
Connerton allegedly defrauded over 70 people of more than $2 [...]
Mercer Hicks III, Formerly of Capital Investment Group, Accused of Unsuitable Investment Recommendations
Hicks was named in a FINRA complaint for allegedly recommending [...]
Gordon Harper, Broker for Merrill Lynch, Sued for CYES Losses
FINRA arbitration has recently been filed against Harper for Collateral [...]
Cecil Ross, Formerly of LPL Financial, Suspended by FINRA for Four Months
Ross is accused of recommending unsuitable investments in Unit Investment [...]
