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.
Ken Kavanaugh, Former Morgan Stanley Broker, Suspended for 18 Months For Unauthorized Outside Business Activities
Voluntarily resigned from his position following allegations regarding his involvement [...]
James Crosson, LFS Services Broker, Subject of Several Customer Disputes Alleging Misrepresentation
Crosson has been the subject of several customer disputes that [...]
Robert Henderson of IFS Securities Under FINRA Investigation for Outside Business Activities
Subject of Seven Tax Liens/Judgments in 2014 Did you lose money [...]
Brokerage Firm Royal Alliance Associates Hit with $1 Million Arbitration Complaint Over Investment with GPB Capital Holdings
Former customer alleges money loss from unsuitable investments Sonn Law [...]
Andre Davis, Former First Standard Financial Broker, Has 14 Customer Disputes, 6 Still Pending
Has had a total of 14 customer disputes filed against [...]
John Wyshak, Former Raymond James Broker, Has Three Customer Complaints Including One Settled for $700k
Three customer disputes dating back to 1999 Sonn Law is investigating [...]
Former Nylife Securities Broker George Shadie Terminated for Concerns Over Quality of Business Practices
Discharged from his position after a review of his business [...]
Joshua Stivers, Kalos Capital Broker, Hit with Arbitration Claim Over Recommendation to Invest in Unsuitable GPB Capital Funds
GPB Capital is currently under investigation by the FBI, SEC, [...]
Oscar Francis, Former MML Services Broker, Barred from FINRA for Wire Fraud and Misappropriation
Barred after multiple allegations of fraud, misappropriation, and pleading guilty [...]
