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.
William Edward Torriente Jr., Formerly of Comerica Securities, Named in Customer Dispute Seeking $500k
Torriente has two customer disputes currently pending against him. William [...]
Carl Damien Gill, Formerly of United Planners’ Financial Services of America, Facing Multiple Pending Customer Disputes
Gill is facing four pending customer disputes, all of which [...]
Paul Warren Vizanko, Formerly of Wells Fargo, Barred by FINRA Following Refusal to Respond to Information Request
Vizanko is also facing a pending customer dispute alleging misappropriation [...]
Jeffrey Alan Kiensnoski, Broker with Concorde Investment Services, Named in Customer Dispute Seeking $1M in Damages
Kiensnoski currently has three customer disputes pending against him. Jeffrey [...]
James Seijas, Formerly of Wells Fargo, Accused of Defrauding Investors in Alleged Ponzi Scheme
Last Updated: November 8, 2021 UPDATE: On November 2, 2021 [...]
Sarah Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages
Komischke is accused of recommending unsuitable investments. Sarah Komischke (CRD#: [...]
NJ Financial Advisor Kenneth Welsh Accused of Fleecing Clients of $2.86M
Last Updated: October 28, 2021 INVESTORS: The U.S. Attorney’s Office [...]
Kevin Anthony Butler, Broker with Morgan Stanley, Named in Customer Dispute Seeking $1.5M in Damages
Butler is accused of negligence and erroneous trading, among other [...]
Jon Peter Lindberg, Formerly of ProEquities, Inc., Named in Two Pending Regulatory Disputes
Lindberg is accused of breach of fiduciary duty and fraud, [...]
