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.
Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise
Birardi was accused of ignoring red flags that brokers were [...]
Michael Paul Francoeur, Formerly of Cambridge Investment Research, Barred by FINRA Following Refusal to Provide Information
Francoeur was accused of assisting a client with an unapproved [...]
William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions
William LeBoeuf is accused of using his personal email to [...]
Clara Tang, Formerly of Cetera Investment Services, Accused of Recommending Unsuitable Investments
Tang is facing two pending customer disputes over the allegations. [...]
David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades
Melilli is also accused of recommending unsuitable investments and forging [...]
Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA
Manning is accused of maintaining an outside securities account without [...]
Adam Jeffrey Nash, Formerly of Pruco Securities, Accused of Failing to Provide Records
As a result of the failure, Nash’s California securities license [...]
Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading
Nergard was suspended by the Arizona Corporation Commission Securities Division. [...]
Abdul Matin Rahmani, Formerly of Joseph Stone Capital, Barred by FINRA Following Allegations of Undisclosed Outside Business Activities
Rahmani is also accused of providing false or misleading information [...]
