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.
Philip Sparacino, Formerly of First Standard Financial Company, Barred by FINRA Following Termination
Philip Sparacino was being investigated for allegations that he engaged [...]
Timothy Millis, Formerly of NYLife Securities, Suspended Following Allegations of Unsuitable Investments
Timothy Millis allegedly recommended unsuitable investments to several customers between [...]
Lance Roman Armstrong, Formerly of Raymond James Financial Services, Barred for Failure to Assist in Investigation
Lance Armstrong was discharged from Raymond James for allegedly soliciting [...]
Tariq Sales, Formerly of Newbridge Securities, Facing Allegations of Negligence
Tariq Sales was named in a customer dispute seeking almost [...]
John Santariello, Formerly of Arive Capital Markets, Named in Customer Dispute Alleging Churning
John Santariello is the subject of a customer dispute seeking [...]
Richard Pittman, Broker for Cetera Advisors, Named in Dispute Over Suitability
Richard Pittman is the subject of a customer dispute seeking [...]
Marosa Linan Abrego, Formerly of Merrill Lynch, Barred by FINRA for Failure to Appear for Testimony
Marosa Linan Abrego failed to appear for testimony in connection [...]
Jason LeBlanc, Formerly of Girard Securities, Barred by FINRA Following Allegations that he Failed to Disclose Several Outside Business Activities
Jason LeBlanc was ordered to pay back clients who bought [...]
David Jose Lugo, Formerly of UBS Financial Services, Facing Multiple Customer Complaints
David Jose Lugo is the subject of numerous customer complaints, [...]
