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.
Ann Louise Werts, Broker with Madison Avenue Securities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Madison Avenue Securities broker Ann Louise Werts was named [...]
Eric Shea Hollifield, Formerly of LPL Financial, Charged by SEC with Misappropriating Over $1.7M
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was charged [...]
Penny Gail Flippen, Formerly of H.D. Vest Investment Services, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme
INVESTORS: Former H.D. Vest Investment Services broker Penny Gail Flippen [...]
Britt Franklin Wright, Formerly of Edward Jones, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme
INVESTORS: Former Edward Jones broker Britt Franklin Wright was named [...]
Former Client of Shawn E. Good Files a Lawsuit Against Morgan Stanley for Lack of Supervision
INVESTOR NOTICE: If you are a former client of Morgan [...]
Xiangyu Yu Zhang, Formerly of Wells Fargo, Facing Pending Customer Disputes Alleging Unsuitable Recommendations
INVESTORS: Former Wells Fargo broker Xiangyu Yu Zhang is facing [...]
Eric Edward Nicolassy, Broker with Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading
INVESTORS: Network 1 Financial Securities broker Eric Edward Nicolassy was [...]
David Randall Lehnertz, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Morgan Stanley broker David Randall Lehnertz was named in [...]
Marc Frederick Korsch, Formerly of Centaurus Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations of GWG L Bonds
INVESTORS: Former Centaurus Financial broker Marc Frederick Korsch is facing [...]
