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.
Grant Christopher Birkley, Formerly of Sagepoint Financial, Barred by FINRA Following Refusal to Produce Documents and Information
FINRA was investigating Birkley’s admission that he made referrals to [...]
Abhishek Sheth, Broker with National Securities Corporation, Accused of Recommending GPB Capital Investments
GPB Capital is embroiled in legal turmoil amid allegations of [...]
William Ard, Broker with Morgan Stanley, Named in Customer Dispute Seeking $6.5M in Damages
The claimant alleges that Ard made unsuitable investment recommendations. William [...]
Leif David Olson, Broker with Wells Fargo, Named in Customer Dispute Seeking $400k in Damages
The claimant alleges that Olson made unsuitable investment recommendations. Leif [...]
John Wade Loofbourrow, Formerly of Demopolis Capital, Facing Customer Dispute Alleging Investments in Ponzi Scheme
The claimant is seeking $800,000 in damages for Loofbourrow’s misconduct. [...]
James Frederic Bowdish, Broker with Edward Jones, Named in customer Dispute Alleging Failure to Pay Life Insurance Premiums
The plaintiffs are seeking over $600k in damages. James Frederic [...]
Rudolf Molnar, Broker with Ameriprise Financial, Named in Customer Dispute Alleging Unsuitable Recommendations
The claimants are seeking over $150k in damages for Molnar’s [...]
Mark Barrand, Broker with Ameriprise Financial Services, Facing Customer Disputes Alleging Unsuitable Recommendations
Barrand has three pending customer disputes seeking $300k in damages, [...]
Adam Belardino, Formerly of MML Investors, Suspended by FINRA Following Failure to Appear for Testimony
FINRA was investigating Belardino based on allegations of misrepresentation. Adam [...]
