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: New Developments in JPMorgan “Frank” Fraud Case Highlight Risks of Misrepresented Financial Data
Recent developments in the high-profile fraud case involving Charlie Javice, [...]
Market Watch: Recent FINRA Disclosures & Broker Red Flags (4/30/2026)
Regulatory oversight is constant, yet investor complaints and disciplinary actions [...]
Broker Alert: Ameriprise Advisor John Pescatore (formerly at Oppenheimer) Facing $200,000 Customer Dispute Over Unauthorized Account Changes
John Pescatore (CRD #2183696), currently registered with Ameriprise Financial Services, [...]
Broker Alert: Keith Craig Baron Barred After Misrepresentations in $359,000 Oil & Gas Investment Scheme
FINRA has barred Keith Craig Baron (CRD #3231494) following findings [...]
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 [...]
