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.
Michael Sims, Formerly of Wedbush Securities, Inc., Subject of Multiple Customer Complaints
Michael Sims was accused by clients of recommending inappropriate investments. [...]
Rafael Golan, Formerly of Crystal Bay Securities, Inc., Barred for Failure to Respond
Rafael Golan was barred by FINRA in January 2019 after [...]
Steven Reznik, Formerly of Raymond James Financial Services, Inc., Subject to 18 Customer Disputes in Past Two Years
Multiple customers of Steven Reznick experienced investment losses due to [...]
Christopher Edward McClure, President and CEO of Westport Capital Markets, LLC, Sued by SEC for Fraud
The SEC obtained a partial summary judgment against Westport Capital [...]
Money Concepts Capital Corporation Sued for Wrongful Sale of GPB Capital Investments
The FINRA complaint alleges that Money Concepts was encouraging its [...]
Andres Fernandez and Edison Denizard Sued by SEC for Offering Unregistered Fraudulent Securities
The SEC alleges that Fernandez and Denizard misappropriated more than [...]
Jeffrey Vasiloff, Formerly of LPL Financial, Suspended by FINRA for Alleged Unauthorized Trading
Jeffrey Vasiloff, terminated by LPL Financial in July 2018, consented [...]
Michael Hull, Christopher Nohl, and Associated Entities Sued by SEC for Fraud
Bluepoint Investment Counsel, LLC, Michael Hull, Christopher Nohl, Greenpoint Asset [...]
Keith Wakefield, Formerly of IFS Securities, Barred by FINRA Following Refusal to Testify
Keith Wakefield, former municipal securities principal at IFS Securities, was [...]
