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.
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 [...]
Adam Lunceford, Financial Advisor at LPL Financial, Named in Customer Dispute Seeking $250,000
Adam Lunceford is facing allegations that he recommended unsuitable investments [...]
Frederick Stow, Formerly of Raymond James & Associates, Discharged Following Allegations of Client Fund Misappropriation
Frederick Stow was terminated from his position in May 2019 [...]
Ami Forte and Charles Lawrence, Formerly of Morgan Stanley, Barred by FINRA for Alleged Churning
Forte and Lawrence allegedly churned accounts of an elderly client [...]
Dennis Mehringer Jr., Formerly of Western International Securities, Barred by FINRA Following Refusal to Provide Information
Dennis Mehringer Jr. refused to appear for testimony as requested [...]
Wallachbeth Capital Consents to Censure and $60,000 Fine
Wallachbeth Capital allegedly failed to maintain policies to prevent misconduct. [...]
Charles Bridgers, Formerly of Wells Fargo, Suspended and Fined by FINRA for Allegedly Purchasing Bonds without Client Authorization
Charles Bridgers is facing allegations that he entered two municipal-securities [...]
Mark Cramer, Formerly of MML Investors Services, Suspended and Fined by FINRA
Mark Cramer is facing allegations of forging a client’s signature [...]
Madison Avenue Securities and Crystal Bay Securities Accused of Negligence in Connection with Sale of GPB Capital Stock
Two different claimants are seeking a combined $1.5 million in [...]
