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.
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. [...]
Patrick William Naughton, Broker with LPL, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The client alleged that Naughton’s recommendation that he invest in [...]
