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.
Daniel Poland, Broker with McNally Financial Services, Accused of Recommending GPB Capital Private Placements
Investors should seek damages after Poland recommended investments that were [...]
Louis Olave, Broker with Lincoln Investment, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations
Olave was previously named in a customer dispute alleging unsuitable [...]
Mazair Monshi, Broker with IFP Securities, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations
4/29/2026 Update: Public records maintained by the FINRA indicate that [...]
Paul Inouye, Formerly of Union Square Advisors, Suspended by FINRA Following Allegations of Failure to Disclose Two Felony Charges
Inouye was reportedly charged with felony rape of a spouse. [...]
Evan Schottenstein, Formerly of JPMorgan, Banned by FINRA Following Allegations of Trading Grandmother’s Assets Without Her Knowledge
Schottenstein is also accused of refusing to cooperate with FINRA’s [...]
Michael Cohn, Former CCO of GPB Capital, Sentenced to 9-Months House Arrest
Cohn was sentenced in exchange for his guilty plea to [...]
Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC
Wolfrum owned and operated Wolfrum Capital Management. Scott Wolfrum (CRD: [...]
Cubby Bice, Broker with Sagepoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
Bice has three customer disputes currently pending against him. Christopher [...]
Candice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval GalleryCandice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval
Candice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval
Montie is suspended from the securities industry for a period [...]
