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.
Kane Waller, Formerly of National Financial Services, Charged by FINRA for Misconduct
Waller allegedly shared customers’ material non-block order information with one [...]
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 [...]
