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.
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 [...]
Scott Andersen, Broker with Wedbush Securities, Involved in Lawsuit Alleging Conversion and Fraud
Has a civil complaint and a customer dispute for arbitration [...]
