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.
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 [...]
Can I Sue My Stockbroker? Your Legal Rights Explained
If you suffered investment losses, the issue may not be market volatility alone. In some cases, stockbroker misconduct, unsuitable recommendations, misrepresentations, or failure to disclose important risks may give rise to a legal claim. Sonn Law helps investors evaluate whether their losses may be recoverable through FINRA arbitration or other available legal remedies.
FINRA Sanctions Carter, Terry & Company Over Reg BI Failures in UIT Sales
Early redemptions of Unit Investment Trusts can significantly increase investor [...]
FINRA Suspends Former LPL Broker David J. Taddeo Over Undisclosed Private Securities Transactions
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action [...]
Shomari Hearn: Why Was Palisades Hudson Advisor Fired?
Former Fort Lauderdale, Florida financial advisor Shomari Hearn (CRD# (https://www.google.com/url?q=https://adviserinfo.sec.gov/individual/summary/5026079&sa=D&source=editors&ust=1766341195965711&usg=AOvVaw1SXQzKi7ZQIlWzuhgUeBVR)5026079 [...]
