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.
Steve Netzel, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
Steven Netzel is the subject of a customer dispute seeking [...]
Morgan Stanley Fined $382,500 For Failure to Supervise Former Broker Justin Amaral
Morgan Stanley is facing sanctions for failing to monitor a [...]
Jefferey Dyra, Formerly of Bankers Life Securities, Barred by FINRA Following Refusal to Provide Information
Jefferey Dyra refused to provide documents and information requested by [...]
Erik Pica, Broker for Joseph Stone Capital, Sued by FINRA for Misuse of Client Funds
Eric Pica is under investigation for misappropriation and allegedly providing [...]
Wes Baiz, Formerly of The Huntington Investment Company, Barred by FINRA Following Refusal to Provide Information
Wes Baiz refused to provide documents and information requested by [...]
William Hightower, Formerly of UBS Financial, Facing Multiple Customer Disputes
William Hightower was barred by FINRA in 2015 after failing [...]
Stuart Nichols, Formerly of Raymond James, Barred by FINRA Following Churning Allegations
Stuart Nichols was barred by FINRA after failing to participate [...]
Brandon Stimpson, Formerly of Allegis Investment Services, Accused of Unsuitable Investment Recommendations in Options
Brandon Stimpson has been the subject of multiple customer complaints [...]
