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.
Nicholas Fougler Taggart, Broker with IMST Distributors, Named in Customer Dispute Alleging Unsuitable Alternative Investment Recommendations
INVESTORS: IMST Distributors broker Nicholas Fougler Taggart was named in [...]
Brian Michael Jackson, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: Wells Fargo broker Brian Michael Jackson was named in [...]
Mark Sam Kolta, Formerly of Worden Capital Management, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Former Worden Capital Management broker Mark Sam Kolta named [...]
Bret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations GalleryBret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations
Bret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations
INVESTORS: Landolt Securities broker Bret Clinton Schaefer was named in [...]
Paul Michael Fiacable, Formerly of JP Morgan, Facing Pending Customer Dispute Alleging Breach of Fiduciary Duty and Misappropriation of Funds
INVESTORS: Former JP Morgan broker Paul Michael Fiacable was named [...]
Daniel Lawrence Pimental, Formerly of Wells Fargo, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
INVESTORS: Former Wells Fargo broker Daniel Lawrence Pimental named in [...]
Devin Wicker, Formerly of JVB Financial Group, Barred by FINRA Following Allegations of Converting Customer Funds
INVESTORS: Former JVB Financial Group broker Devin Wicker was barred [...]
Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Failure to Disclose Outstanding Federal Liens
INVESTORS: Former Spartan Capital Securities broker Terry Tzagarakis was suspended [...]
James Lee Greene, Broker with B. Riley Wealth Management, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations
INVESTORS: B. Riley Wealth Management broker James Lee Greene is [...]
