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.
Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages
Burish is accused of recommending a strategy that was unsuitable [...]
Matthew Clason, Formerly of LPL Financial, Pleads Guilty to Wire Fraud
Clason was previously accused of stealing over $600k from a [...]
Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages
Burish is accused of recommending a strategy that was unsuitable [...]
Gregory Hersch, Broker with Old City Securities, Named in Customer Dispute Seeking Over $1M in Damages
Hersch is accused of breach of fiduciary duty, constructive fraud, [...]
John Lee Scott, Formerly of LPL Financial, Barred by FINRA After Refusing to Appear for Testimony
Scott faced a FINRA investigation into potential undisclosed outside business [...]
David Michael Logsdon, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The customer is seeking $20,000 following allegations that the securities [...]
Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations
The client is seeking $101K in damages in connection with [...]
John Gilbert Simpson, Formerly of JP Morgan, Named in Customer Dispute Alleging Misrepresentation
The client is seeking $130,000 in damages for the misrepresentation [...]
Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading
Fergang is accused of making 814 transactions in four customers’ [...]
