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.
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 [...]
Les Leroy Barber Jr., Broker with Royal Alliance Associates, Accused of Recommending Unsuitable Private Placements
The customer is seeking over $200K in damages for Barber’s [...]
