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.
Mark Allen Upchurch, Formerly of Centaurus Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The client is seeking $500k in damages for Upchurch’s alleged [...]
Michael Frank Paesano, Formerly of Morgan Stanley, Named in Three Pending Customer Disputes Alleging Excessive Trading
Paesano has been named in sixteen customer disputes that ended [...]
Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations
Bowman’s unsuitable recommendations allegedly caused his customers to incur unnecessary [...]
David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations GalleryDavid Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations
David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations
Geake has been the subject of five customer complaints since [...]
Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages
Haynes is accused of recommending investments that were complex and [...]
Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds
Rigsbee refused to provide information and documents requested in FINRA’s [...]
Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year
Szempruch was suspended based on allegations of unsuitable trading practices. [...]
John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information
FINRA launched an investigation into Swon after allegations that he [...]
Philip Donald Beviano, Broker with Signature Securities, Named in Multiple Pending Customer Disputes Alleging Misrepresentations
The clients are seeking over $250K, collectively, for Beviano’s alleged [...]
