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.
Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act GalleryMaria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act
Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act
The customer is seeking $245k in damages for Calcena’s alleged [...]
Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients
Shillin has forty-four total disclosures on his BrokerCheck report. Michael [...]
Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages
Brown has only one disclosure on his BrokerCheck report. Patrick [...]
Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months
Niekamp reportedly engaged in outside business activities without providing notice [...]
Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages
Blatz is accused of making unsuitable trades, breach of fiduciary [...]
Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
Gates was discharged from his previous firm, Joseph Gunnar & [...]
Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information
FINRA initiated an investigation into Morrow following allegations of unauthorized [...]
Christopher George Orlando, Formerly of Spartan Capital Securities, Barred by FINRA Following Allegations of Excessive Trading
Orlando reportedly generated commissions of $496,872 through the excessive trades. [...]
Alfonse Joseph Stazzone, Formerly of Monmouth Capital Management, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading
Stazzone is suspended from the financial industry in all capacities [...]
