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.
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 [...]
Tony Barouti, Broker with Emerson Equity, Named in Customer Dispute Alleging Losses in Customer Accounts
INVESTORS: Emerson Equity broker Tony Barouti was named in a [...]
