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.
Broker Mark Jones, of Merrill Lynch, Pierce, Fenner & Smith, Involved in Pending Misrepresentation Dispute
History of Customer Disputes Alleging Misrepresentation, Unsuitability, and Breach of [...]
Steven Reznik, Former Raymond James Broker, Hit with 6 Customer Disputes Since January
20 customer disputes dating back to 1998 and over $500,000 [...]
Alpine Securities Corporation Faces FINRA Complaint Over Unauthorized Trading and Misuse of Customer Assets
FINRA Alleges that Alpine Securities Corporation Converted and Misused Customer Funds [...]
Marcus Boggs Formerly of Merrill Lynch Charged With Fraud for Stealing More Than $1.7 Million From Clients
The SEC Alleges that Former Merrill Lynch Marcus Boggs Misappropriated [...]
Erik Pica, Joseph Stone Capital Broker, Under FINRA Investigation for Misappropriation and Allegedly Providing False Testimony
History Includes Three Firms Expelled by FINRA Did you lose money [...]
Peter Huffman, Merrill Lynch Broker, Hit with $2.7 Million Customer Dispute Alleging Churning
Sonn Law is investigating Merrill Lynch Broker Peter Huffman. We [...]
Nancy Glassman, Morgan Stanley Broker, Hit with Customer Dispute Alleging Unsuitability
Accused of unsuitability by three clients, two of which were settled [...]
FSC Securities Brokers Frank Briseno and Craig Accardo in FINRA Arbitration for Alleged Unsuitable Investment Recommendations
Potential Client Losses in the Millions Sonn Law is investigating Former [...]
Gregory Dean, Former Worden Capital Broker, Barred for Excessive and Reckless Trading in Customer Accounts to Inflate Commission
FINRA barred Mr. Dean from the securities industry after an [...]
