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.
Oscar Francis, Former MML Services Broker, Barred from FINRA for Wire Fraud and Misappropriation
Barred after multiple allegations of fraud, misappropriation, and pleading guilty [...]
Jose Cornide, of UBS Financial, Has Pending Complaints Over $10 Million
Five customer disputes, two pending, two denied, and one closed [...]
Sonia Attkiss of UBS Financial Services Faces Investor Complaints Related to UBS Yield Enhancement Strategy Losses
Two Investors Allege that Sonia Attkiss Made Unsuitable Investment Recommendations [...]
Gerard Joseph Costello of UBS Financial Services Recently Faced an Investor Complaint Over UBS YES Strategy Losses
We are Investigating UBS Financial Services Advisor Gerard Costello’s Association [...]
Scott Rosenburg of UBS Financial Services is Facing Six Complaints Over Losses Suffered With the UBS YES Strategy
Investors Allege that Scott Rosenberg Made Material Misrepresentations and Unsuitable [...]
Matthew Buchsbaum of UBS Financial Services Faces 11 Investor Complaints Over UBS YES Strategy Losses
Investors Allege that Matthew Buchsbaum Failed to Disclose Material Risks [...]
Michael Dawson of UBS Financial Has $2 Million-Plus Customer Complaint
Customer complaints of misrepresentation and unsuitability Did you lose money [...]
Robert Montes, Former Wells Fargo Advisor, Barred from FINRA for Failure to Provide Information
Refused to provide documents and information requested by FINRA Did you [...]
Jeffrey Blutstein, Former Kestra Investment Services Broker, Barred for Refusing to Provide Information During Finra Investigation
Discharged from Kestra following allegations that he violated firm policy [...]
