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.
Antoine Nabih Souma – Formerly of Insigneo Securities – Barred from Financial Services Industry
BREAKING NEWS: (February 21, 2023) Los Angeles-based investment advisor Antoine [...]
Delio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading GalleryDelio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
Delio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
INVESTORS: Former Sagepoint Financial broker Delio Eduardo Londono was named [...]
Leo Li-Yuan Chien, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Cetera Investment Services broker Leo Li-Yuan Chien was named [...]
Peter Girgis, Formerly with SW Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
INVESTORS: Former SW Financial broker Peter Girgis was named in [...]
Stephen Robert Coma, Broker with Hilltop Securities, Named in Customer Dispute Seeking $13M in Damages
INVESTORS: Hilltop Securities broker Stephen Robert Coma was named in [...]
William Worthen King, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unauthorized Trading
INVESTORS: Merrill Lynch broker William Worthen King was named in [...]
Shirley Ank Wong, Broker with NI Advisors, Named in Customer Disputes Alleging Failure to Supervise and Unsuitable Recommendations
INVESTORS: NI Advisors broker Shirley Ank Wong was named in [...]
Michele McAdoo Fane, Broker with Cadaret, Grant & Co., Named in Customer Dispute Alleging Failure to Supervise
INVESTORS: Cadaret, Grant & Co. broker Michele McAdoo Fane was [...]
Adam Maggio, Broker with VCS Venture Securities, Named in Customer Dispute Alleging Various Forms of Misconduct
INVESTORS: VCS Venture Securities broker Adam Maggio was named in [...]
