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.
Alan Price, Formerly of Edward Jones, Named in FINRA Complaint Alleging He Borrowed Money from Customers
Price is also accused of failing to comply with requests [...]
Raymond Velasco, Formerly of LPL Financial, Suspended by FINRA For Creating False Termination Letters
Velasco is suspended from the financial industry for a period [...]
Frank Sapareto, Formerly of Trustmont Financial, Charged in FINRA Complaint Alleging Concealment of an Outside Business Activity
Sapareto is also accused of making misleading or false statements [...]
Kevin Schaefer, Broker with Wells Fargo, Accused of Recommending Unsuitable Investments
Schaefer has two pending customer disputes alleging unsuitable investment recommendations. [...]
Ignacio Erhart Del Campo, Formerly of Insigneo Securities, Suspended by FINRA Following Allegations of Trading in Deceased Client’s Account
Erhart Del Campo was also accused of making unauthorized trades [...]
Trevor Rahn, Formerly of JP Morgan, Suspended by FINRA Following Allegations of Unauthorized Trading
Rahn was terminated from JP Morgan in 2018 based on [...]
Michael Cohn, Former CCO of GPB Capital, Avoids Prison Time in SEC
Cohn was sentenced to nine months of home confinement in [...]
David Wall, Formerly of Voya Financial, Named in Three Pending Customer Disputes Alleging Unsuitable Recommendations
The pending customer complaints are seeking over $10M in damages, [...]
Jeffrey Stanga, Broker with FMN Capital, Suspended by FINRA Following Allegations He Failed to Disclose the Nature of His Outside Business Activities GalleryJeffrey Stanga, Broker with FMN Capital, Suspended by FINRA Following Allegations He Failed to Disclose the Nature of His Outside Business Activities
Jeffrey Stanga, Broker with FMN Capital, Suspended by FINRA Following Allegations He Failed to Disclose the Nature of His Outside Business Activities
Stanga is suspended for 12 months and was ordered to [...]
