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.
Peter Kohli, Formerly of Trustmont Financial Group, Facing 5 Pending Customer Disputes Alleging Various Forms of Misconduct
Kohli’s former clients are collectively seeking over $850K in damages [...]
Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes
Platico is accused of unsuitable and unauthorized options trading in [...]
Michael Bell, Broker with Cetera Advisor Networks, Facing Customer Dispute Alleging Unsuitable, Over-Concentrated Investments
The client is seeking over $200K in damages related to [...]
Felipe Henao Vargas, Broker with Insigneo Securities, Facing $1.3M Customer Dispute Involving VIX Short-Term Futures ETN
The dispute alleged that the customer had concerns about the [...]
Maurice McKinney, Broker with Concorde Investment Services, Facing $1M Customer Dispute Regarding REIT Investments
McKinney is also accused of misrepresentation, negligence, and breach of [...]
David Taddeo, Broker with LPL Financial, Facing Pending Customer Dispute Alleging Issues with Variable Annuity Income Withdrawals
Taddeo has settled customer disputes with similar allegations earlier in [...]
Felix Chu, Formerly of NY Life, Facing Two Pending Customer Disputes Alleging Unsuitable Promissory Note Investments
Chu was barred by FINRA in 2019 for failing to [...]
Matthew Nekuza, Formerly of TD Ameritrade, Barred by FINRA Over Allegations of Conversion of Firm Funds and Providing False Testimony
Nekuza is accused of charging personal expenses to his firm [...]
Ivan Shore, Oppenheimer Financial Advisor, Accepts FINRA Suspension Over Alleged Pattern of Unsuitable Recommendations
Shore is accused of recommending unsuitable short-term trading of unit [...]
