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.
Gerald James Ohalloran, Broker with Union Capital Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Union Capital Company broker Gerald James Ohalloran was named [...]
Eric Shea Hollifield, Formerly of LPL Financial, Files Lawsuit Alleging LPL Financial’s Responsibility for Misappropriation of Funds
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was barred [...]
Dale Edward Wright, Formerly of Cambridge Investment Research, Placed on Probation by Virginia State Corporation Commission
INVESTORS: Former Cambridge Investment Research broker Dale Edward Wright was [...]
Nicholas John Kraiko, Formerly of National Securities Corporation, Barred by FINRA Following Refusal to Respond to Requests for Information
INVESTORS: Former National Securities Corporation broker Nicholas John Kraiko was [...]
Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct
INVESTORS: Aegis Capital broker Brian Kenneth Court was named in [...]
Peter Joseph Klein, Broker with Hightower Securities, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Hightower Securities broker Peter Joseph Klein was named in [...]
Joseph Francis Valdini, Formerly of Aegis Capital, Named in Customer Dispute Alleging Churning
INVESTORS: Former Aegis Capital broker Joseph Francis Valdini was named [...]
Craig Jay Sherman, Formerly of Wynston Hill Capital, Suspended by FINRA Following Allegations of Failure to Supervise
INVESTORS: Former Wynston Hill Capital broker Craig Jay Sherman was [...]
Robert Jonathan Spencer, Formerly of Cetera Advisor Networks, Barred by FINRA Following Refusal to Produce Documents and Information
INVESTORS: Former Cetera Advisor Networks broker Robert Jonathan Spencer was [...]
