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.
Christopher Fulco, Formerly of JM Capital, Sued by SEC for Operating an Offering Fraud
Former broker Christopher Fulco has been barred by FINRA and [...]
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 [...]
