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.
Tony Esses, Broker with Wells Fargo, Facing Customer Dispute Alleging Fraud
The clients allege that Esses fraudulently transferred over $2M from [...]
Christopher Fernan, Formerly of Salomon Whitney Financial, Barred by FINRA Over Failure to Provide Testimony
FINRA claimed to be investigating Fernan after reviewing a customer [...]
Troy Baily, Formerly of Sagepoint Financial, Suspended by FINRA While Facing $135K Customer Dispute Alleging Improper Investment Recommendations
FINRA accused Baily of engaging in undisclosed and unapproved private [...]
John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization
Geary was also accused of failing to amend his Form [...]
Travis Nelson, Formerly of Charles Schwab, Suspended Over Allegations of Forging Client Signatures
Nelson was also accused of providing false statements to FINRA [...]
Rodney Stuart Ferguson, Broker with NY Life, Facing $170K Customer Dispute Alleging Unsuitable Recommendations
Ferguson has been named in multiple customer disputes over the [...]
Joseph Chu, Broker with RBC Capital Markets, Facing Over $2M in Customer Disputes Involving Energy Sector Losses
Chu currently has two pending customer disputes. The Sonn Law [...]
Jonathan Freeze, Formerly of Fortune Financial Services, Facing 8 Pending Customer Disputes
Freeze was accused of selling away by a majority of [...]
David Turetzky, Formerly of Morgan Stanley, Facing 3 Pending Customer Disputes Alleging Failure to Supervise Management of Customer Accounts
The 2020 customer disputes allege the misconduct between July of [...]
