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.
Investor Alert: Apex Clearing Corporation Fined $3.2 Million Over Securities Lending Program Impacting Millions of Retail Investors
A recent enforcement action against Apex Clearing Corporation (CRD #13071) [...]
Investor Alert: Cova Capital Partners LLC Cited for Reg BI Violations in Pre-IPO Private Placement Recommendations
A recent FINRA enforcement action against Cova Capital Partners LLC [...]
Investor Alert: Sestante Capital LLC Advisor Giovanni Pennetta Pleads Guilty in Pre-IPO Fraud Scheme, Sentencing Set for June 2026
Federal prosecutors have secured a guilty plea from Giovanni Pennetta, [...]
Investor Alert: Daniel McClory and Private Placement Losses Raise Suitability and Disclosure Concerns
Investor claims involving private placements continue to surface across the [...]
Investor Alert: $132 Million FINRA Arbitration Award Against Stifel Highlights Risks of Structured Notes
A recent arbitration ruling against Stifel Financial Corp. is drawing [...]
Investor Alert: National Healthcare Properties IPO Underperforms Market Expectations
National Healthcare Properties (formerly Healthcare Trust Inc.) made its long-awaited [...]
Investor Alert: UBS Advisor Igor Harlap and Alternative Investment Losses
Alternative Investment Losses-What Investors Should KnowRRecent disclosures involving UBS Financial [...]
Broker Investigation Alert: Yvette Barrera Named in $21 Million Dispute Involving Unregistered Securities and Investor Losses
Yvette Barrera, an investment adviser representative based in Texas, has [...]
Investor Alert: NextGenTech Fraud Allegations Highlight Risks in Pre-IPO Investment Schemes
Federal authorities have brought charges against an investment manager in [...]
