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.
Paul Wesley Witthauer, Broker with G.A. Repple & Company, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings
INVESTORS: G.A. Repple & Company broker Paul Wesley Witthauer was [...]
Bradley Allen Goodbred, Formerly of LPL Financial, Charged by SEC with Stealing from an Elderly Investor
INVESTORS: Former LPL Financial broker Bradley Allen Goodbred was named [...]
David Sheldon Wells, Formerly of Fifth Third Securities, Charged by SEC with Misappropriating Clients’ Funds
INVESTORS: Former Fifth Third Securities broker David Sheldon Wells was [...]
Patrick Cody, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unsuitable Investments, Among Other Misconduct
INVESTORS: Merrill Lynch broker Patrick Cody was named in a [...]
Charles Frederik Lek, Broker with Lek Securities Corporation, Named in FINRA Complaint Alleging Failure to Supervise
INVESTORS: Lek Securities Corporation broker Charles Frederik Lek was named [...]
Jimmy Yang Driggers, Formerly of Morgan Stanley, Named in Pending Customer Dispute Seeking $4M in Damages
INVESTORS: Former Morgan Stanley broker Jimmy Yang Driggers was named [...]
Daniel Todd Lerner, Broker with David Lerner Associates, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments
INVESTORS: David Lerner Associates broker Daniel Todd Lerner was named [...]
Matthew Bahrenburg, Broker with CFD Investments, Named in Customer Dispute Alleging the Sale of Private Investments.
INVESTORS: CFD Investments broker Matthew Bahrenburg is facing a pending [...]
James Travis Flynn, Formerly of Voya Financial Advisors, Barred by FINRA Following Failure to Comply with Arbitration Award
INVESTORS: Former Voya Financial Advisors broker James Travis Flynn was [...]
