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.
Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information
Rando was being investigated by FINRA for possible engagement in [...]
Matthew Garrett, Formerly of MML Distributors, Barred by FINRA Following Failure to Respond to Request for Information
Garrett also has a pending criminal charge for embezzlement. Matthew [...]
Daniel Levine, Formerly of Morgan Stanley, Barred by FINRA After Failing to Provide Requested Information
Levine was also barred by the SEC from associating with [...]
Miguel Rivera Jr., Formerly of Westpark Capital, Accused of Recommending Unsuitable Investments
Rivera allegedly recommended unsuitable investments to an elderly couple which [...]
Sumitro Pal, Formerly of Morgan Stanley, Facing Pending Customer Dispute Seeking $1.5 Million in Damages
Pal has multiple pending customer complaints alleging a variety of [...]
Galen Kopman, Formerly of Centaurus Financial, Facing Pending Customer Dispute Alleging He Recommended Unsuitable Investments
Kopman was previously named in a customer dispute citing similar [...]
Joe Franklin, Formerly of LPL Financial, Facing Pending Customer Dispute Seeking Over $150K in Damages
The claimant alleges that the investments recommended by Franklin were [...]
Christopher Lawrence Phillips, Broker with RBC Capital, Facing Pending Customer Dispute Seeking Over $350K in Damages
The customer accused Phillips of failure to diversify an account [...]
Ryan Tarjanyi, Formerly of Trustmont Financial Group, Named in FINRA Investigation Alleging Various Forms of Misconduct
FINRA alleged that Tarjanyi falsified documents and forged customer signatures. [...]
