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.
Did Kevin Canterbury Reccomend GPB Capital Investments?
Customer disputes against Canterbury allege unsuitable investments in GPB Capital. If [...]
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 [...]
