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.
Morgan Darby Hill, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Arete Wealth Management broker Morgan Darby Hill was named [...]
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 [...]
