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.
Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct
The client is seeking over $250k in damages for Hein’s [...]
Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty
The client is seeking over $150k in damages for Kirwan’s [...]
Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations
Anderson was discharged from Cetera Advisors in 2019 based on [...]
Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes
One client is seeking $500K in damages for Valenzuela’s alleged [...]
Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations
The client is seeking $950K in damages for Garza-Clark’s alleged [...]
Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information
Katz was being investigated by FINRA based on allegations of [...]
Steve Berrocal, Broker with Truist Investment Services, Named in Three Pending Customer Disputes Alleging Unsuitable Investment Recommendations
The claimants are seeking over $1.5M in damages, collectively. Stephen [...]
Christopher Bice, Broker with SagePoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
Bice has three customer disputes currently pending against him. Christopher [...]
David Fenning, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The customer is seeking $173K in damages for Fenning’s alleged [...]
