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.
James Kenneth Couture, Formerly of LPL Financial, Barred by FINRA Following Refusal to Produce Information
FINRA was attempting to investigate the allegations leading to Couture’s [...]
Robyn Simons, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
The client also alleges misrepresentation and failure to supervise. Robyn [...]
Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice GalleryGary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice
Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice
Hammond is also accused of providing false information on a [...]
Andrew Slocum, Formerly of Charles Schwab, Barred by FINRA After Failing to Respond to Information Request
Slocum is barred from associating with any FINRA member firm [...]
Michael Shillin, Formerly of Alliance Global Partners, Barred by FINRA After Refusing to Provide Documents or Information
Shillin is barred from associating with any FINRA member firm [...]
Former Broker Joseph Alhadeff Barred by FINRA After Refusing to Provide Information and Documents Requested
FINRA requested information and documents relating in connection with its [...]
Jose Cornide Jr., Broker with UBS Financial, Facing 8 Pending Customer Disputes Alleging Unsuitable Recommendations and Misrepresentation
The former customers are seeking over $30M in damages collectively. [...]
Forrest Jones, Formerly of Merrill Lynch, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
The former customer is seeking over $300k in damages. Forrest [...]
- Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds Gallery
Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds
Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds
FINRA is also investigating Wagner’s alleged involvement in potential undisclosed [...]
