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.
James Lamont of Whitehall-Parker Securities, Inc. Suspended by FINRA for Alleged Unapproved Private Securities Transactions
FINRA alleges that between September 2015 and November 2017, Lamont [...]
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 [...]
