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.
Robert Henderson, Formerly of IFS Securities, Sued by FINRA for Unauthorized Outside Business Activities
Henderson was also charged with failure to disclose tax liens. [...]
Luke Johnson, Advisor for Coastal Equities, Inc., Accused of Selling Fraudulent GPB Capital Investments
A federal lawsuit claims GPB Capital Holdings has been paying [...]
Gerald Coyne, Formerly of CUSO Financial Services, Barred by FINRA For Failing to Provide Testimony
Coyne was being investigated by FINRA following allegations of misconduct. [...]
Rusty Tweed Appeals Bar by FINRA
Rusty Tweed was barred by FINRA and fined $50,000 after [...]
James Booth, Formerly of LPL Financial, Pleads Guilty to Securities Fraud
Booth allegedly defrauded customers over a period of many years [...]
James D’Meo, Formerly of Kenneth Jerome & Co., Barred by FINRA for Failing to Provide Information
D’Meo was facing a FINRA investigation into his personal financial [...]
John Borsellino, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Unsuitable Recommendations
Borsellino was also fined $5,000 and ordered to return lost [...]
David Rosenberg, Former Prime Automotive Group CEO, Seeking Reinstatement
Rosenberg alleges GPB Capital Holdings violated dealership franchise agreements by [...]
Kane Waller, Formerly of National Financial Services, Charged by FINRA for Misconduct
Waller allegedly shared customers’ material non-block order information with one [...]
