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.
Richard Guy Duncan, Formerly of Ausdal Financial Partners, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments
INVESTORS: Former Ausdal Financial Partners broker Richard Guy Duncan was [...]
Shad Ray Ketcher, Broker with J.W. Cole Financial, Facing Pending Customer Dispute Alleging Unsuitable Recommendations
INVESTORS: J.W. Cole Financial broker Shad Ray Ketcher was named [...]
Carlos A. Estima, Broker with Insigneo Securities, Facing Pending Customer Dispute Alleging Investment Losses
INVESTORS: Insigneo Securities broker Carlos A. Estima was named in [...]
Paul William Murphy, Broker with Calton & Associates, Facing Pending Customer Disputes Alleging Various Forms of Misconduct
INVESTORS: Calton & Associates broker Paul William Murphy was named [...]
Allan G. Snider, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Former Oppenheimer & Co. broker Allan G. Snider was [...]
Robert C. David, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations David Falsified Customers’ Account Profile Information
INVESTORS: Former Morgan Stanley broker Robert C. David was suspended [...]
Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services
Global VIP and Global Advantage Select Were Unsuitable For Claimants [...]
John Winslow, Formerly of Edward Jones, Barred by FINRA Following Refusal to Provide Information
INVESTORS: Former Edward Jones broker John Winslow was barred by [...]
Marianne O’Shee Smith, Formerly of Cetera Advisors, Barred by FINRA Following Diversion of Client Funds
INVESTORS: Former Cetera Advisors broker Marianne O'Shee Smith was barred [...]
