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.
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 [...]
Kenia Naves Rocha, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses
INVESTORS: EFG Capital International broker Kenia Naves Rocha is facing [...]
