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.
Gerald Eaton, Formerly of Commonwealth Financial Network, Barred by FINRA for Failing to Provide Information
Gerald Eaton was being investigated by FINRA following allegations that [...]
Robert Genito, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Information
Robert Genito was under investigation by FINRA following allegations that [...]
Hannah Peterson Weber, Broker for Merrill Lynch, Named in $1 Million Customer Dispute
The broker was accused of misrepresentation and unsuitable recommendations. The [...]
Michael Collins, Formerly of Kingsbury Capital, Suspended by FINRA Following Allegations of Participating in Private Securities Actions
Michael Collins was accused of participating in the transactions without [...]
Fredrick Randhahn, Formerly of Sigma Financial, Suspended by FINRA Following Sale of Woodbridge Group Promissory Notes
Allegations state that Randhahn sold Woodbridge promissory notes to five [...]
Brian Lockett, Broker for Independent Financial Group, Suspended by FINRA for Hiding a $50K Private Placement
Lockett was also fined $5,000 on top of his 45-day [...]
John Hoagland, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Unauthorized Trading
John Hoagland accepted sanctions by FINRA after facing customer complaints [...]
Justine Zhou, Formerly of The Leaders Group, Barred by FINRA Following Termination
Justine Zhou was terminated for unauthorized outside business activities involving [...]
Philip Sparacino, Formerly of First Standard Financial Company, Barred by FINRA Following Termination
Philip Sparacino was being investigated for allegations that he engaged [...]
