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.
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 [...]
Jeffrey Daniel Basford, Broker with David Lerner Associates, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation
INVESTORS: David Lerner Associates broker Jeffrey Daniel Basford is facing [...]
