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.
Former IFG rep Jeffrey Schwebach Ordered to Disgorge Over $19K
Suspended by FINRA for selling promissory notes without permission If [...]
Vincent Storms, Former Raymond James Broker, Barred for Falsifying Internal Audit Documents
Mr. Storms changed the answers to over 500 questions in [...]
Dennis Gibb, Former Founder and Owner of Sweetwater Investments, Sentenced to 5 Years in Prison for Stealing Over $3 Million of Client’s Investments
The 72-year-old former broker was also ordered to pay over [...]
James Booth, Former LPL Advisor, Barred From FINRA For Misappropriation
Barred by FINRA for allegedly misappropriating client funds OCTOBER 1, 2019 [...]
Michael Seigel, former National Securities Corporation Broker, Faces 3 Years in Prison for Defrauding Elderly Couple
The New Jersey Bureau of Securities discovered that the broker [...]
Michael Alan Siegel, Former National Securities Broker, Barred From FINRA For Theft
Barred from FINRA for allegations of theft, misrepresentation, unsuitability, fraud, [...]
William Gennity, Formerly of First Standard Financial, Barred From FINRA for Violation of Federal Securities Laws
Suspended by FINRA for selling promissory notes without the permission [...]
Investigation: Mark Plummer, former Texas E & P Partners Broker, Ordered to Pay $500k for Improperly Spending Investor Funds
Finra barred both Plummer and his firm were from the [...]
James Booth, former LPL Financial Broker, Charged by SEC with Operating Ponzi Scheme
James Booth allegedly defrauded retail investors resulting in nearly $5 [...]
