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.
Investigation of Former Illinois Broker Adam M. Lopez
We are Investigating Adam Lopez for Fraudulent and Dishonest Practices [...]
Former New York Broker Michael Bastardi Barred by FINRA
Client Suits Alleging Over $500K in Damages If you’ve lost money [...]
Investment Losses with Financial Advisor Gary Meier
Since March 2018, the Former Cambridge Investment Research advisor has [...]
Jason Nelson of LPL Financial Barred from FINRA
History of Misrepresenting Customer Information If you’ve lost money investing [...]
Former Morgan Stanley Broker David Strnad Suspended for Making Unauthorized CD Trades
Finra suspended David Strnad for executing over 250 transactions outside [...]
HD Vest Investment Services Financial Advisor Frank Kelly Suspended by FINRA
History of Customer Disputes for Unsuitable Investments The Sonn Law [...]
Investigation of Former California Broker Benjamin Weldon
Benjamin Weldon Suspended for Failure to Provide FINRA with Information [...]
Investigation of Former New York Broker Herbert H. Hafen
Former Morgan Stanley Financial Advisor Herbert Hafen is Being Investigated [...]
Investigation of New York Broker Matthew Crafa
A FINRA Arbitration Claim Alleges that Matthew Crafa Offered Unsuitable [...]
