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.
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’ [...]
Jonathan P. Maroney, Owner of Harbor City Capital Corp., Charged by SEC With Misappropriating Investor Funds and Operating Ponzi Scheme
Investors should seek damages after Harbor City Corp. owner recommended [...]
Larry Ramos Mendoza, Resident of Miami, Indicted For $21 Million Investment Fraud
Sonn Law Group has been retained to represent an investor [...]
Joia Evans, Formerly of TIAA-CREF, Barred by FINRA Following Refusal to Provide Information
Evans Has been barred after they refused to provide information [...]
David John Melilli, Formerly of Sagepoint Financial, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments
Melilli is also accused of making unauthorized trades and forging [...]
Michael Robert Greenfield, Broker with Newbridge Securities, Named in Multiple Customer Disputes Alleging Negligence
Greenfield has been the subject of five settled customer disputes [...]
Brian Maguire, Formerly of Goldman Sachs, Barred by FINRA Following Allegations of Insider Trading
Maguire is accused of using material, nonpublic information as a [...]
Gilbert Cox, Formerly of NYLife Securities, Barred by FINRA After Refusing to Requested Information
FINRA was investigating Cox’s termination due to alleged participation in [...]
Steven Melen, Formerly of Morgan Stanley, Suspended by FINRA Following Failure to Disclose Rental Property
Melen is also accused of accepting loans from clients without [...]
