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.
Tobin Carl Hoffmann, Broker with Ameritas Investment Company, Facing Customer Dispute Alleging Misrepresentation Regarding an Investment
INVESTORS: Ameritas Investment Company broker Tobin Carl Hoffmann was named [...]
Randall John Mason, Broker with Cetera Advisors, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment
INVESTORS: Cetera Advisors broker Randall John Mason was named in [...]
Steve Jeffrey Cummings, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Former Berthel, Fisher & Company broker Steve Jeffrey Cummings [...]
Arthur Grossbard, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Ameriprise Financial Services broker Arthur Grossbard was named in [...]
Michael Joseph Whitaker, Broker with Newbridge Securities Corporations, Facing Customer Dispute Alleging Breach of Fiduciary Duty
INVESTORS: Newbridge Securities Corporations broker Michael Joseph Whitaker was named [...]
Kennister Ulesley Daley, Broker with Allstate Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Allstate Financial Services broker Kennister Ulesley Daley was named [...]
Virgil Arthur Biggs, Broker with Avantax Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Avantax Investment Services broker Virgil Arthur Biggs was named [...]
Lawrence Merl, Broker with David Lerner Associates, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: David Lerner Associates broker Lawrence Merl was named in [...]
Christopher Dyer Queen, Broker with Wells Fargo, Facing Customer Dispute Alleging Breach of Fiduciary Duty
INVESTORS: Wells Fargo broker Christopher Dyer Queen was named in [...]
