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.
Chad Mackland, Formerly of Lion Street Financial, Barred by FINRA Following Refusal to Provide Information
FINRA was investigating Mackland regarding criminal felony charges filed against [...]
Jessica Richman and Zachary Apte, Co-Founders of uBiome, Inc., Charged by SEC with Defrauding Investors Out of $60 Million
Richman and Apte are accused of falsely representing to investors [...]
Isaiah Goodman, Founder of MoneyVerbs, Pleads Guilty to One Count of Mail Fraud
Goodman is also the owner of Becoming Financial Group and [...]
Federal Government Seeking 6-Month Prison Sentence for Michael Cohn, Former CCO of GPB Capital
Cohn, who previously worked for the SEC, pled guilty to [...]
Efrain Trujillo, Formerly of Western International Securities, Barred by FINRA Following Allegations of Failure to Supervise
FINRA alleged that Trujillo acted unreasonably in the face of [...]
Brian Wurdemann, Broker with RBC Capital Markets, Named in Customer Dispute Seeking $1M in Damages
The customer alleged that Wurdemann misrepresented the nature of three [...]
Michael Shillin, Barred Wisconsin Broker, Named in Five New Customer Disputes in February 2021 Alone
Shillin is currently facing nineteen pending customer disputes Michael Shillin [...]
George Marshall Warner, Formerly of Chelsea Financial Services, Barred by FINRA For Failing to Produce Information
Warner is also facing a pending customer dispute alleging he [...]
Nedjeen Baptiste, Formerly of JP Morgan, Barred by FINRA Following Refusal to Produce Information
Baptiste was being investigated based on alleged participation in unapproved [...]
