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.
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 [...]
Randy Scott Larson, Broker with Arete Wealth Management, Named in Arbitration Claim
Larson is accused of recommending an investment in Zona Energy, [...]
Joey Dale Miller, Broker with Arete Wealth Management, Named in Arbitration Claim
Miller is accused of recommending an investment in Zona Energy, [...]
Brian Sanguinet, Broker with Arete Wealth Management, Named in Arbitration Claim
Sanguinet is accused of recommending an investment in Zona Energy, [...]
William Herman Dixon, Formerly of Securities America, Barred by FINRA After Refusing to Provide Requested Documents
Dixon was terminated from his member firm based on allegations [...]
Candido Jose Viyella, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Appear for Testimony
Viyella was being investigated by FINRA regarding participation in undisclosed [...]
Jason Dipaola, Formerly of Chardan Capital Markets, Named in FINRA Investigation Following Allegations of Trading in His Mother’s Account
Dipaola is accused of exercising discretion in his mother’s investment [...]
Maxwell Drever, California-Based Real Estate Developer, Charged by SEC Following Allegations of Misleading Investors
Drever is accused of providing false information to investors about [...]
Robin Vail Platt, Broker with Hancock Whitney Investment Services, Accused of Unsuitable Investment Recommendations
Platt is a registered investment adviser with Hancock Whitney and [...]
