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.
Kevin Fretz, Formerly of LPL Financial, Facing Allegations of Unsuitable Investment Recommendations in Non-Traded REITs
Fretz has been the subject of two settled customer disputes [...]
Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation
FINRA was investigating allegations that Husby served as a power [...]
Chris Tolmacs, Formerly of Triad Advisors, Facing Customer Dispute Alleging Unsuitable Investments
Tolmacs has been named in 12 customer disputes over the [...]
SEC Charges Adam P. Rogas, Founder of NS8, Inc., With Fraud; Investors May Have Options for Recovery
Rogas was charged with raising $123 million in fraudulent offerings. [...]
Charatie A. Seelye Among 60 Defendants Charged in $300M Telemarketing Fraud Scheme Targeting Seniors
Seelye, a Minnesota resident, is a call center manager and [...]
Brooklynn Chandler Willy Suspended by Texas Securities Regulator Over Alternative Sales to Conservative Investors
Willy was ordered to return $2.75M in commissions to whom [...]
James Geake, Broker with Madison Avenue Securities, Subject of Multiple Settled Customer Disputes Alleging Misconduct
Geake has been the subject of four customer disputes since [...]
Samuel Izaguirre, Broker with LPL Financial, Facing $600K Customer Dispute
Izaguirre is accused of misleading a client about the details [...]
Brendan Shaw, Formerly of Purshe Kaplan Sterling Investments, Facing Three Pending Customer Disputes Alleging Unsuitable Investments and Excessive Trading GalleryBrendan Shaw, Formerly of Purshe Kaplan Sterling Investments, Facing Three Pending Customer Disputes Alleging Unsuitable Investments and Excessive Trading
Brendan Shaw, Formerly of Purshe Kaplan Sterling Investments, Facing Three Pending Customer Disputes Alleging Unsuitable Investments and Excessive Trading
Shaw was also barred by the State of Washington Securities [...]
