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.
James Rudnick, Florida Real Estate Developer, Charged by SEC with Fraud
Rudnick is accused of paying unauthorized commissions in the sale [...]
George Heckler, Unregistered Investment Adviser, Charged by SEC with Misleading Investors
Heckler reportedly operated a decade-long investment adviser fraud through two [...]
Daniel James O’Neill, Formerly of NYLife Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading
O'Neill was discharged from Aegis Capital Corporation for failing to [...]
Geoffrey Thompson Charged by SEC with Selling Unregistered Securities
Thompson is accused of selling more than $19 million in [...]
Narith Long, Formerly of NYLife Securities, Named in Customer Dispute Alleging Unauthorized Securities Transactions and Unsuitable Recommendations
Long has been the subject of four customer disputes since [...]
Joseph Michael Fedorko, Jr., Broker with Laidlaw & Co. (UK), Named in Customer Dispute Alleging Churning and Unauthorized Trading
The customer is seeking $1.7 million in damages for Fedorko’s [...]
Samuel Mancini, Colorado Fund Manager and CEO, Charged with Securities Fraud, Wire Fraud, and Money Laundering
Mancini is accused of operating a fraudulent scheme to obtain [...]
Kenric Lamont Sexton, Formerly of Wells Fargo, Suspended by FINRA Due to Allegations of Misrepresentations on a Loan Application
Sexton was accused of making negligent misrepresentations on an economic [...]
Henry Chia-How Chang, Broker with Laidlaw & Company (UK), Named in Customer Dispute Alleging Selling Away
Chang voluntarily resigned from Morgan Stanley following the customer dispute. [...]
