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.
Ezri Shechter, Employed by Spencer-Winston Securities, Suspended by FINRA for Three Months
Shechter allegedly caused customers to sign incomplete or blank forms. [...]
Jeannette Adcock, Formerly of David A. Noyes & Company, Named in Customer Dispute Related to Sale of Illiquid Structured Certificates of Deposit
Adcock has faced numerous complaints in the past few years. [...]
Jeremy Rosen, Broker for Nationwide Planning Associates, Inc., Accused of Making Unsuitable Recommendations
Rosen has been named in an investor dispute alleging that [...]
Dain Stokes, Formerly of LPL Financial, is Facing Allegations of Converting Client Funds through a Fake African Charity
Dain Stokes was terminated in August 2019 for allegedly selling [...]
Lake Tahoe Lawyer Accused of Fraud and Money Laundering
David Kaplan is facing charges for his participation in an [...]
Nephew Accused of Depleting Relatives’ Retirement Funds
Robert Walberg is facing allegations that he ran a Ponzi [...]
Albert Foronda, Formerly of Worden Capital Management, Under FINRA Investigation
Foronda is facing an investigation after a preliminary determination that [...]
Michael Sievert, Financial Advisor at Arkadios Capital, Accused of Selling Unsuitable Investments in GPB Capital Holdings
Sievert is currently facing two customer complaints alleging the sale [...]
Steven Case, Advisor for LPL Financial, Subject to Customer Complaints Regarding Alternative Investments
Case is currently facing two customer disputes alleging concerns over [...]
