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 Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions GalleryScott Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions
Scott Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions
Reed is also facing regulatory action by the Arizona Corporation [...]
Evan Schottenstein, Formerly of JP Morgan, Accused of Abuse of Fiduciary Duty and Misrepresentation
The client sought over $69M in damages based on the [...]
Avi Elliot Schottenstein, Formerly of JP Morgan, Named in $69M FINRA Judgment
The customer accused Schottenstein of fraud, abuse of fiduciary duty, [...]
Cory Davern, Broker with Valic Financial Advisors, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
The customer is seeking over $200K in damages based on [...]
Michael Nigro, Broker with MML Investors Services, Facing Pending Customer Dispute Alleging Misrepresentation and Unsuitable Recommendations
Nigro is accused of recommending that his clients invest their [...]
James Schaedler Jr., Formerly of Wells Fargo, Barred by FINRA Following Refusal to Produce Information
Schaedler was also accused of improperly receiving a $200K gift [...]
Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Charged by SEC with Stealing Client Funds
Pitsironis is accused of defrauding former clients of more than [...]
Cynthia Cowden, Formerly of NPB Financial Group, Barred by FINRA Following Allegations of Recommending Unsuitable Investments
Cowden is also facing two pending customer disputes. Cynthia Cowden [...]
Valerie Ceballos, Formerly of Wells Fargo, Barred by FINRA After Refusing to Appear for Testimony
Rando was being investigated by FINRA based on her termination [...]
