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.
Summit Brokerage Services Fined, Ordered to Pay Restitution for Broker ‘Churning’
Excessive Trading By a Financial Advisor Cost Summit Brokerage Investors [...]
Fred Brown, Formerly of Merrill Lynch, Suspended by FINRA for Accepting Client Loans and Nondisclosure
Mr. Brown’s FINRA suspension will last eight months If you’ve lost [...]
Shawna Choate, Former Spencer Edwards Broker, Investigated by Finra for Falsifying Documents
Ms. Choate allegedly falsified documents dozens of times in 2014 [...]
Curtis Ile, Former Sigma Financial Advisor, Suspended by FINRA for Alleged Unauthorized Trading
Mr. Ile marked solicited trades as “unsolicited” on order tickets If [...]
Rand Heckler, Formerly of Benjamin & Jerold Brokerage, Barred from FINRA for Unsuitability and Misrepresentation
Heckler is under FINRA investigation for unsuitable recommendations, misrepresentations, and [...]
$1 Million Dispute Filed Against Aegis Capital Broker
The broker, Paul Falcon, has had six complaints filed against [...]
Patrick Neal Foley — Former Merrill Lynch Broker — Barred from FINRA
Mr. Foley allegedly accepted loans from clients If you’ve lost money [...]
Leonard Kinsman of Wells Fargo Faces Over $1M in Damages Claimed by Former Clients
Clients allege $1 million dollars in damages related to unsuitable [...]
Investigation of Merrill Lynch Financial Advisors Who Mishandled the Investments of UPS Employees
Are You a Current or Former UPS Employee Who Lost [...]
