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.
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 [...]
John August Van Wambeke, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Keep Clients Updated
INVESTORS: Ameriprise Financial Services broker John August Van Wambeke was [...]
Debra Lynn Clark, Broker with Hornor, Townsend & Kent, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Hornor, Townsend & Kent broker Debra Lynn Clark was [...]
Thomas Craig Bonds, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Morgan Stanley broker Thomas Craig Bonds was named in [...]
Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Named in Multiple Customer Disputes Alleging Misappropriation and Fraud
INVESTORS: Former Stifel, Nicolaus & Company broker Robert Earl Turner [...]
Nikolay Zotenko, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Engaging in Misleading Marketing of Private Placements
INVESTORS: Former Morgan Stanley broker Nikolay Zotenko was suspended by [...]
Eduardo Moliterno Da Cruz, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses
INVESTORS: EFG Capital International broker Eduardo Moliterno Da Cruz is [...]
Daniel Arthur Evans, Broker with Wells Fargo, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Wells Fargo broker Daniel Arthur Evans was named in [...]
Neal Edwin Nakagiri, Formerly of NPB Financial Group, Facing Customer Disputes Alleging Negligence, Unauthorized Trading, and Other Misconduct
INVESTORS: NPB Financial Group broker Neal Edwin Nakagiri is facing [...]
