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.
Marcus Angelo Beasley, Formerly of Supreme Alliance, Barred by FINRA Following Allegations of Offering Unregistered Securities
Beasley was previously suspended for 7 months by FINRA. Marcus [...]
Xiao Qin Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages
Komischke is accused of recommending unsuitable investments. Xiao Qin Komischke [...]
Marc Augustus Reda, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Churning in Customer Accounts
The complaint also alleges that Reda made unauthorized trades in [...]
Kevin Carey Doyle, Formerly of Raymond James & Associates, Censured by Oklahoma Department of Securities
Doyle was censured for allegedly using discretionary power without a [...]
Roy Joseph Failla, Broker with Arive Capital Markets, Named in Customer Dispute Alleging Unsuitable Recommendations
Failla was suspended by the New Jersey Bureau of Securities [...]
Scott Robert Rahn, Formerly of LPL Financial, Target of Investigation Concerning Unsuitable Trades
Rahn was also the subject of a regulatory judgment entered [...]
Edgar Kleydman, Formerly of MML Investors Services, Barred by FINRA Following Refusal to Appear for Testimony
FINRA was investigating whether Kleydman engaged in private securities transactions [...]
Jamie John Worden, Formerly of Worden Capital Management, Barred by FINRA Following Refusal to Produce Information
Worden is also facing ten pending customer disputes. Jamie John [...]
James Wightman Wilcox, Broker with First Republic Securities, Named in Customer Disputes Alleging Unsuitable Investment Allegations
The customer disputes are seeking $1.9M in damages, collectively. James [...]
