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.
SEC Charges Cambridge Capital Group Advisors, LLC and Two Former Executives with Defrauding Former-NFL Player Investors
Cambridge Capital Group Advisors, LLC, its president Phillip Howard, and [...]
Spire Securities, LLC Charged $3 Million in Compensatory Damages
FINRA awarded a former client $3 million in damages for [...]
Kalos Capital Fined and Censured by FINRA for Failure to Adequately Supervise Registered Representatives
Kalos Capital accepted FINRA sanctions following allegations of failure to [...]
Edward James Lyons, Formerly of Raymond James & Associates, Inc., Accused of Unauthorized Trading and Recommending Unsuitable MLPs
Lyons was barred by FINRA in 2018 after accepting sanctions [...]
Halil Kozi, Formerly of Windsor Street Capital, Faces FINRA Complaint for Alleged Churning and Excessive Trading
FINRA filed a complaint against Halil Kozi charging him with [...]
Kalos Capital Sued Over Allegations that Broker Hunter McFarlin Sold Private Placements in GPB Capital
Shepherd, Smith, Edwards & Kantas filed a lawsuit agains Kalos [...]
Kerry Hoffman, Formerly of LPL Financial, Sued by SEC for Selling $3.3 Million in Unregistered Securities
Hoffman is accused of selling unregistered GT Media, Inc. securities [...]
Clayton Wertz, Formerly of First Canterbury Securities, Barred from FINRA for Creating False Account Statements
Clayton Wertz allegedly created false brokerage account statements to help [...]
Glenn Mueller, of Northridge Holdings, Charged by SEC for Orchestrating Ponzi Scheme
Mueller and his company Northridge Holdings are the subject of [...]
