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.
Debra Bourne, of First Standard Financial, Subject of Four 2019 Customer Disputes
Five disclosers have been filed for unsuitability and excessive trading [...]
Pedro Gonzalez-Seijo, Former Transamerica Financial Advisors Broker, Convicted of Bank and Securities Fraud
Did you lose money investing with Pedro Gonzalez-Seijo or Transamerica [...]
Jerry McCutchen, Former Berthel, Fisher & Company Broker, and Other Executives Ordered to Pay $1.16
Top executives at the brokerage firm allegedly sold unsuitable complex [...]
Michael Packman, Former Axiom Capital Management Broker, Alleged to Have Sold Unsuitable Securities from GPB Capital
Did you lose money investing with Michael Packman or Axiom [...]
Sylvester Knox, Formerly of FSC Securities, Denied Registration in Multiple States
Lengthy History of Allegations of Professional Misconduct Did you lose [...]
Charles Kenahan, Former Merrill Lynch Broker, Hit with $42 Million Customer Dispute Alleging Churning
Last month, Merrill Lynch paid out $40 million on a [...]
Daniel Soliman, Formerly of JP Morgan, Barred From FINRA for Failing to Participate in Investigation
Worked for Three Expelled Firms Did you lose money investing with [...]
Roman Corona, Former Morgan Stanley Broker, Barred from FINRA for Undisclosed Accounts
Discharged for Violation of Firm Policy Did you lose money investing [...]
Roman Corona, Former Morgan Stanley Broker, Barred for Refusing to Appear for Testimony During Finra Investigation
An apparent misunderstanding about the broker’s external accounts led first [...]
