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.
Broker Investigation Alert: Dave Stone of Stifel Nicolaus Faces Investor Complaints and Suitability Concerns
Dave Stone, a financial advisor associated with Stifel, Nicolaus & [...]
Broker Investigation Alert: Ryan Tarjanyi Barred from Securities Industry Following FINRA Action
Ryan Tarjanyi, a former financial advisor associated with Bankers Life [...]
Investor Alert: Realta Equities Lawsuit Highlights Concerns Over DST Investments and Suitability Practices
What Happened A recently filed FINRA arbitration claim against Realta [...]
Investor Alert: Carter Exchange 1031 DST Investments Raise Liquidity and Suitability Concerns
What Happened Investment offerings associated with Carter Exchange, a sponsor [...]
Stirlingshire Investments FINRA Action: Leveraged ETF Violations and Investor Risk
Recent disciplinary action by FINRA highlights compliance failures at Stirlingshire [...]
Independence Capital FINRA Action: Speculative Bond Sales to Retail and Senior Investors
Recent FINRA action highlights serious concerns about Independence Capital Co., [...]
Aegis Capital Under FINRA Scrutiny: What Investors Should Know
Aegis Capital Corp. is under renewed regulatory scrutiny after recent [...]
FINRA March 2026 Disciplinary Actions Reveal Widespread Reg BI Failures, Private Placement Risks, and Supervisory Breakdowns
Introduction FINRA’s March 2026 disciplinary report highlights persistent failures in [...]
When the Gatekeepers Become the Enablers: New Lawsuit Targets Law Firm Alston & Bird in $328M Goliath Crypto Fraud
The litigation surrounding the collapse of Goliath Ventures has entered [...]
