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 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 [...]
Investigation of Former New York Broker Dudley Stephens
We are Investigating Former Coastal Equities Broker Dudley Stephens for [...]
