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.
David Ferwerda, Formerly of Signator Investors, Barred by FINRA for Refusing to Provide Information
David Ferwerda was being investigated by FINRA for participation in [...]
Greg McKinney, Formerly of Cetera Advisors, Barred by FINRA Following Failure to Provide…
Greg McKinney failed to comply with FINRA’s requests for information [...]
Variable Annuity Life Insurance Company Facing SEC Investigation over High-Cost Retirement Investments
The AIG subsidiary specializes in retirement plans for schools, colleges, [...]
Christopher Kozak, Formerly of Cetera Advisors, Suspended by FINRA for Failure to Disclose an Outside Business Activity
Christopher Kozak consented to sanctions including a six-month suspension from [...]
Paul Wescoe Smith, Formerly of Bolton Global Capital, Barred by the SEC and FINRA Following…
Paul Smith is facing allegations from numerous investors that he [...]
Kim Kopacka, Formerly of IMS Securities, Barred by FINRA Following Allegations She Helped Her Husband Produce $6 Million in Commissions
Kim Kopacka allegedly enabled her husband, who was barred by [...]
Trevor Rahn, Formerly of JP Morgan, Facing Allegations of Unauthorized Trading
Trevor Rahn was terminated by JP Morgan in 2018 following [...]
Alan Appelbaum, Broker for Aegis Capital, Involved in Multiple Customer Disputes Alleging Unsuitability
Alan Appelbaum was named in a dispute seeking $1.8 million [...]
William Foster, Broker for Ameriprise Financial Services, Involved in Customer Dispute Regarding…
William Foster was named in a dispute seeking over $400,000 [...]
