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.
Cecil Ross, Formerly of LPL Financial, Suspended by FINRA for Four Months
Ross is accused of recommending unsuitable investments in Unit Investment [...]
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 [...]
