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.
Dean Kajouras, Broker for Fordam Financial Management, Named in Multiple Customer Complaints
Dean Kajouras has been the subject of eight customer disputes [...]
Alex Blanco, Formerly of Hornor Townsend & Kent, Inc., Facing Allegations of Unsuitable Investments
Alex Blanco is the subject of multiple customer disputes alleging [...]
Steven Yellen, Formerly of JP Morgan, Consented to One-Year Suspension and $25,000 Fine
Steven Yellen accepted sanctions following allegations that he exercised discretion [...]
Trevor Rahn, Formerly of J.P. Morgan, Facing Allegations of Excessive Trading
Trevor Rahn is facing multiple customer complaints concerning allegations of [...]
Jason Mosher, Advisor for Kalos Capital, Allegedly Recommended GPB Capital Private Placements to Investors
GPB Capital has been the subject of multiple regulatory investigations [...]
Michael Cohn, Former Chief Compliance Officer of GPB Capital Holdings, Charged by SEC with Obstruction of Justice
Michael Cohn, who formerly worked for the SEC as an [...]
George Marwieh, Former Registered Investment Advisor, Facing License Revocation in Texas
George Marwieh allegedly failed to disclose excessive commissions, misuse of [...]
Anthony Hobson, Advisor for Money Concepts Capital Corp, Faces Allegations Concerning Alternative Investments
Anthony Hobson has been the subject of at least three [...]
Daniel Arcuri Jr., Formerly of Thrivent Investment Management, Named in FINRA Complaint for Failure to Appear
FINRA is seeking a judgement against Daniel Arcuri Jr. after [...]
