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.
Thomas Johnson, Formerly of RBC Capital, Named in $1M FINRA Complaint
Has two disclosures in FINRA record including fraudulent activity and [...]
Elias “Herbert” Hafen, Former Morgan Stanley Broker, Barred for Defrauding Clients
Elias "Herbert" Hafen Defrauded his clients out of hundreds of [...]
Frederick Baerenz and David Sweat, Former Kalos Capital Brokers, Involved in Arbitration Over Recommendation of GPB Capital Securities Funds
Involved in the sale of securities offered by GPB Capital Holdings [...]
Darren Kubiak, Kalos Capital Advisor, Has $1M in Pending Complaints
Two pending complaints for alleging unsuitable investments Did you lose [...]
Bobby Coburn, Former Securities America Broker, Barred from FINRA for Failure to Appear
Failed to appear at a FINRA hearing for potential sales [...]
Gurpreet Chandhoke and Stephen Shea, Formerly of Arete Wealth Management, Respondents in Multi-Million FINRA Complaint
Finra complaint includes failure to disclose outside business activities, failure [...]
Daniel Maughan, Former Financial West Broker, Hit with Finra Complaint Alleging Churning
Complaint filed for engaging in churning and excessive trading of [...]
Daniel Maughan, Formerly of Financial West Group, Barred by FINRA Following Churning Allegations
Daniel Maughan is facing allegations of churning and excessive trading [...]
Ricky Mantei, Former J.P. Turner Broker, Subject of Finra Complaint Alleging Violations of Firm’s Supervisory Policy
Executed trades between J.P. Turner customers. Sonn Law is investigating [...]
