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.
Ping Shuang Cathy Wu, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Cetera Advisors broker Ping Shuang Cathy Wu is facing [...]
Nathan Paul Macdonald, Broker with Cetera Advisors, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Cetera Advisors broker Nathan Paul Macdonald is facing a [...]
Frank Lucien Van Houten, Formerly of LPL Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Former LPL Financial broker Frank Lucien Van Houten was [...]
Eric Shea Hollifield, Formerly of LPL Financial, Barred by FINRA Following Refusal to Appear for Testimony
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was barred [...]
William Nicholas Athas, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Trading and Breach of Fiduciary Duty
INVESTORS: Former SW Financial broker William Nicholas Athas is facing [...]
Steven Michael Richardson, Broker with LPL Financial, Named in Customer Dispute Alleging Excessive Trading
INVESTORS: LPL Financial broker Steven Michael Richardson was named in [...]
Christina Lindsey Orta, Broker with Cambridge Investment Research, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Cambridge Investment Research broker Christina Lindsey Orta is facing [...]
Roderick K Von Lipsey, Broker with UBS Financial, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation
INVESTORS: UBS Financial broker Roderick K Von Lipsey is facing [...]
Kirk Edward Pickell, Broker with Janney Montgomery Scott, Facing Pending Customer Dispute Alleging Unsuitable Investments
INVESTORS: Janney Montgomery Scott broker Kirk Edward Pickell is facing [...]
