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.
Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Allegations of Excessive Trading
INVESTORS: Former Spartan Capital Securities broker Terry Tzagarakis was barred [...]
Dennis David Karjala, Formerly of LPL Financial, Suspended by FINRA Following Allegations of Providing a Guarantee Against Losses
INVESTORS: Former LPL Financial broker Dennis David Karjala was barred [...]
Robert Morgan Vance, Broker with Moloney Securities Co., Named in Customer Disputes Alleging Unsuitable Recommendations and Negligence
INVESTORS: Moloney Securities Co. broker Robert Morgan Vance was named [...]
Cheryl Lynn Young, Broker with Rockefeller Financial, Named in Customer Dispute Alleging Unsuitable Recommendations
INVESTORS: Rockefeller Financial broker Cheryl Lynn Young was named in [...]
Christopher Thomas Fusco, Formerly of Joseph Stone Capital, Named in Customer Dispute Alleging Unsuitable Recommendations and Excessive Trading
INVESTORS: Former Joseph Stone Capital broker Christopher Thomas Fusco was [...]
David Khezri, Formerly of Network 1 Financial Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations
INVESTORS: Former Network 1 Financial Securities broker David Khezri was [...]
Peter Kyung Hoon Rhee, Broker with Cetera Advisors, Facing Customer Disputes Alleging Unsuitable Investment Recommendations and Negligence
INVESTORS: Cetera Advisors broker Anthony Joseph named in customer disputes [...]
Peter James Fetherson, Formerly of Aegis Capital, Charged by FINRA with Converting Customer Funds
INVESTORS: Former Aegis Capital broker Peter James Fetherson is facing [...]
Richard Foerster Reynolds, Formerly of SW Financial, Facing Customer Dispute Alleging Churning, Unauthorized Trading, and Fraud
INVESTORS: Former SW Financial broker Richard Foerster Reynolds is facing [...]
