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.
Invested With Arete Wealth Management Broker Walter Nelson? What You Should Know
According to publicly available FINRA BrokerCheck (https://brokercheck.finra.org/) records, Sonn Law [...]
Emerson Equity LLC Broker Thomas Justice Accused of Unsuitable Investment Recommendations
Did you lose money investing with Emerson Equity LLC broker Thomas Justice (CRD# [...]
Great Point Capital LLC Broker Joseph Kocsis Under Investigation for Investment Losses
Sonn Law Group is currently investigating potential legal claims involving [...]
Stifel Nicolaus Broker Edward Villanyi Faces $100,000 Complaint for Unauthorized Trading
A recently disclosed customer dispute alleges that Edward Villanyi liquidated [...]
Newbridge Securities Broker James Cox Subject of Five Customer Disputes & FINRA Suspension
Sonn Law Group is investigating potential claims of broker misconduct [...]
Options for Clients of Wedbush Securities Inc. Broker Raymond Chow
Did you suffer investment losses due to recommendations by Wedbush [...]
FINRA Suspends Broker Eduardo Leon for Borrowing $750,000 From a Customer Without Firm Approval
Borrowing money from a customer is one of the most [...]
Former UBS Broker Settles Unauthorized Trading Claims for $1 Million
Recent regulatory and customer dispute developments involving Patrick Alexander Moriarty [...]
FINRA Sanctions Former LPL Broker for Misrepresenting Corporate Bonds as FDIC-Insured CDs
The Financial Industry Regulatory Authority (FINRA) has sanctioned former LPL [...]
