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.
Jamie Westenbarger, Formerly of Securities America, Barred by FINRA for Borrowing Funds from Clients
Jamie Westenbarger is facing allegations that he received a $60,000 [...]
Erlloisse Magan, Formerly of TD Ameritrade, Suspended by FINRA and Fined $10,000
Erlloisse Magan is facing allegations that she engaged in activities [...]
Cetera Advisors, LLC Charged with Breach of Fiduciary Duty and Defrauding Clients
The SEC alleges that unlawful gains in the amount of [...]
Yvonne Silguero, Financial Advisor for LPL Financial, Involved in $500,000 Customer Dispute
Yvonne Silguero is facing multiple allegations stemming from activity between [...]
Rob Burns, Registered Representative with Cetera Advisors Networks, Involved in $500,000 Customer Dispute
Rob Burns is facing allegations of overconcentration and recommending unsuitable [...]
Maureen Scalzo, Formerly of Benjamin F. Edwards & Company, Barred by FINRA Following Failure to Testify
Maureen Scalzo refused to participate in FINRA’s investigation into possible [...]
Steve Klinger, Formerly of Wells Fargo, Barred by FINRA Following Failure to Testify
Stephen Klinger allegedly deposited client funds into his own account [...]
Michael D’Aquila, Formerly of Merrill Lynch, Barred by FINRA for Alleged Conduct Inconsistent with Firm Standards
Michael D’Aquila consented to findings stating he was terminated for [...]
Craig Siegel, Formerly of Portfolio Advisors Alliance, LLC, Suspended by FINRA for Failing to Respond to Request for Information
Craig Siegel was suspended by FINRA in April 2019 after [...]
