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.
Lester Burroughs, Registered with Lincoln Investment, Pleads Guilty to $575K Ponzi Scheme
Burroughs is facing a maximum of 20 years in prison [...]
Eugene Gordon, Formerly of Morgan Stanley, Suspended by FINRA for Unauthorized Trades
Eugene Gordon allegedly allowed a client to direct trades in [...]
Peter Monson, Broker for Van Clemens & Co, Under Investigation for Excessive Trading
Peter Monson is facing an investigation by FINRA concerning allegations [...]
Ashley Woodard, Formerly of Voya Financial Advisors, Named in Multiple Customer Complaints Regarding Illiquid Securities
Woodard is currently the subject of six customer complaints. The [...]
Kurt Jackson, Broker for Commonwealth Financial Network, Facing Customer Dispute Seeking $500,000
Jackson has been the subject of two customer complaints over [...]
Ronald Roach, Formerly of Securities America, Barred by SEC for Alleged Participation in Ponzi Scheme
Ronald Roach has been accused of having a role in [...]
Murry Shapero, Broker for Maxim Group, Suspended by FINRA for Unauthorized Trading
Murry Shapero was also fined $20,000 by his employer based [...]
Leon Almeida, Broker for MML Investors Services, Named in Customer Dispute Alleging Misrepresentation
Leon Almeida is accused of misrepresenting a variable annuity in [...]
David Kendrick, Formerly Of NYLife, Suspended by FINRA for 18 Months
David Kendrick was accused of participating in an investment club [...]
