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.
SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency
The Securities and Exchange Commission (SEC) has charged crypto asset [...]
Avi Bailo, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Arete Wealth Management broker Avi Bailo was named in [...]
Thomas Edison Kelly Jr., Broker with Aegis Capital, Named in Customer Dispute Alleging Various Forms of Misconduct
INVESTORS: Aegis Capital broker Thomas Edison Kelly Jr. was named [...]
Jeffrey Donald Noard, Broker with Emerson Equity, Named in Customer Dispute Alleging Various Forms of Misconduct
INVESTORS: Emerson Equity broker Jeffrey Donald Noard was named in [...]
Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation
Boggs was previously barred by FINRA in 2019 for the [...]
Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation GalleryScott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation
Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation
INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named [...]
Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony
INVESTORS: Former Morgan Stanley broker Miche Jean was named in [...]
Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away
INVESTORS: Former PFS Investments broker Kevin Andrew Hobbs was barred [...]
SEC: Adam and Daniel Kaplan Inflated Fees, Misappropriated $5M from at Least 60 Clients
The Securities and Exchange Commission (SEC) has filed a lawsuit [...]
