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.
Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Barred by FINRA for Allegedly Converting Client Funds
Paul Pitsironis allegedly transmitted more than $400,000 from a client’s [...]
Michael Barry Carter, Former Morgan Stanley Broker, Barred from FINRA for Misappropriation
Barred for refusing to furnish documents and information around his [...]
Bernie Adair, of Merrill Lynch, Involved in Pending Dispute of $550,000 for Alleged Misrepresentation
Currently involved in a pending dispute alleging misrepresentation of variable [...]
Timothy Johnson, Former MML Investors Services Broker, Discharged Following Allegations He Diverted Customer Funds
Discharged from MML for diverting customer funds for his own use [...]
Eric Savell, Former LPL Financial Broker, Suspended Five Months for Unauthorized Private Securities Transaction
Suspended after an investigation revealed Mr. Savell had participated in [...]
Robert S. Smith of Peregrine Private Capital / Concorde Investment Services Involved in $1.1 Million Complaint Regarding Investments in GPB Capital
The broker is currently involved in a customer dispute alleging [...]
Broker Michael Fasciglione is Accused of Offering Unsuitable GPB Capital Holdings Investments
Broker Michael Fasciglione is Accused of Offering Unsuitable GPB Capital [...]
Jesse Gil, Formerly of Allstate Financial, Named Respondent in FINRA Complaint
Allegedly Converted Funds from Elderly Widow Did you lose money investing [...]
Thomas Johnson, Formerly of RBC Capital, Named in $1M FINRA Complaint
Has two disclosures in FINRA record including fraudulent activity and [...]
