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.
Matthew Stern Buchsbaum, Broker with UBS Financial Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
INVESTORS: UBS Financial Services broker Matthew Stern Buchsbaum was named [...]
Adam Jesse Gurien, Broker with Merrill Lynch, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
INVESTORS: Merrill Lynch broker Adam Jesse Gurien was named in [...]
Lawrence Merl, Formerly of David Lerner Associates, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Former David Lerner Associates broker Lawrence Merl was named [...]
Todd Michael Venturino, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading
INVESTORS: Spartan Capital Securities broker Todd Michael Venturino was named [...]
Todd Michael Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
INVESTORS: Wells Fargo broker Todd Michael Perry was named in [...]
Dusty Lynn Sternadel, Formerly of Ameriprise Financial Services, Barred by FINRA Following Failure to Respond to Appear for Testimony
INVESTORS: Former Ameriprise Financial Services broker Dusty Lynn Sternadel was [...]
Ex-JPMorgan Broker Edward Turley Barred by from Financial Services Industry
Edward L. Turley has been barred from the financial services [...]
Michael William Mandarino, Broker with G.A. Repple & Company, Named in Customer Dispute Alleging Unsuitable Recommendations of GWG Holdings Bonds
INVESTORS: G.A. Repple & Company broker Michael William Mandarino was [...]
Pamela Denise Lawson, Formerly of Lawson Financial Corporation, Suspended by FINRA Following Failure to Comply with Arbitration Award
INVESTORS: Former Lawson Financial Corporation broker Pamela Denise Lawson was [...]
