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.
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 [...]
Joseph Whitney, Formerly of UBS Financial Services, Denied Registration by New Jersey Bureau of Securities
Whitney allegedly engaged in dishonest and unethical business practices while [...]
Robert Henderson Jr., Broker with San Blas Securities, Suspended by FINRA for 13 Months
Henderson was accused of engaging in outside business activity. Robert [...]
Thomas Ward Stratton, Formerly of World Choice Securities, Barred by FINRA Following Investigation into Misuse of Customer Funds
Stratton refused to provide information and documents requested by FINRA [...]
Martin Ruiz, New York Investment Adviser, Charged with Defrauding Clients and Misappropriating Client Funds
Ruiz is accused of targeting elderly investors in his fraudulent [...]
Gerald Allen Eaton, Boston Investment Advisor, Pleads Guilty to Stealing Over $3.7 Million in Client Funds
Eaton is accused of stealing money from clients of his [...]
Ronnie Metcalf, Broker with Cetera Advisors, Accused of Failure to Supervise
Metcalf is facing six pending customer disputes. Ronald Franklin Metcalf [...]
Lyle Wesley Davis, Broker with Wilson-Davis & Co., Agrees to FINRA Settlement Alleging Failure to Supervise
Davis agreed to a $30,000 fine and a suspension for [...]
Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations GalleryChrist Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations
Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations
Baltas was barred by FINRA in 2020 for refusing to [...]
