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.
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 [...]
Thomas Marino, Formerly of R.M. Stark & Co., Barred by FINRA for Refusal to Provide Information
Discharged from R.M. Stark & Co in 2019 for allegations [...]
