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.
Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations
INVESTORS: Cetera Investment Services broker Doris Lau is facing a [...]
Anthony Thomas Megaro, Broker with Park Avenue Securities, Facing Customer Dispute Alleging Forgery of Client Signatures
INVESTORS: Park Avenue Securities broker Anthony Thomas Megaro is facing [...]
Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud GalleryDouglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud
Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud
INVESTORS: United Planners' Financial Services of America broker Douglas Albert [...]
Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony
INVESTORS: Former Henley & Company broker Barbara Ann Bernatzky was [...]
- Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products Gallery
Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products
Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products
INVESTORS: Former Alliance Global Partners broker Paul Francis Gallivan was [...]
James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Great Point Capital broker James David Beaudoin is facing [...]
Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
INVESTORS: Lincoln Financial Advisors broker Richard Glenn Shaw is facing [...]
Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence
INVESTORS: Former Ameriprise Financial Services broker Murray Todd Petersen was [...]
Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment
INVESTORS: Ameriprise Financial Services broker Marlene Yacenda is facing a [...]
