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.
Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds GalleryFormer 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 [...]
Ryan Raskin Barred by FINRA After Failing to Provide Information and Documents Requested
FINRA requested information and documents relating to Raskin’s discharge from [...]
David Zupek, Broker with Concorde Investments, Facing Two Pending Customer Disputes
The claimants are seeking over $295K collectively for Zupek’s misconduct. [...]
Barry Lemay, Broker with Concorde Investments, Facing Pending Customer Dispute Involving Suitability Claims
The client is seeking over $237K in damages for Lemay’s [...]
- Michael Ecker, Formerly of Concorde Investments, Facing Pending Customer Dispute Alleging Overly Concentrated Investments in Unsuitable Illiquid REITs Gallery
Michael Ecker, Formerly of Concorde Investments, Facing Pending Customer Dispute Alleging Overly Concentrated Investments in Unsuitable Illiquid REITs
Michael Ecker, Formerly of Concorde Investments, Facing Pending Customer Dispute Alleging Overly Concentrated Investments in Unsuitable Illiquid REITs
The client is seeking $200K in damages for Ecker’s misconduct. [...]
- Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments Gallery
Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments
Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments
The client is seeking over $100k in damages for Birkinbine’s [...]
FINRA Suspends Angel W. Bardeche Over Allegations of Unsuitable Mutual Fund Trading
Bardeche is suspended for a period of nine months and [...]
James McPherson, Formerly of Great Point Capital, Facing Pending Customer Disputes Alleging Unsuitable Investments
The former clients are seeking over $500k in damages, collectively. [...]
Gene Esplin, Formerly of Kalos Capital and Triad Advisors, Named in Customer Dispute Seeking $1M in Damages
The former client accused Esplin of making unsuitable recommendations in [...]
