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.
Brian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty GalleryBrian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty
Brian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty
DiBrino is also accused of recommending unsuitable investments and negligence. [...]
Lonna Rae Dehn Ristvedt, Formerly of LPL Financial, Suspended by FINRA Over Allegations of Engaging in Private Securities Transactions
Ristvedt is accused of engaging in undisclosed and unapproved private [...]
Neemit Shah, Formerly of Northwestern Mutual, Suspended and Fined Over Alleged Unapproved, Private Securities Transactions
Shah is accused of engaging in undisclosed and unapproved private [...]
David Tucker, Formerly of Brooklight Place Securities, Facing Administrative Action by State of Florida Over Alleged Misconduct
Tucker is accused of selling securities without being registered, failing [...]
Stephen Whittaker, Formerly of First Financial Equity, Fined and Suspended by FINRA Over Allegations of Unreported Outside Business Activities
Whittaker agreed to a six-month suspension and $5K fine in [...]
Robert Meyer, Broker with Monmouth Capital Management, Suspended by FINRA Over Alleged Unsuitable Trading
Meyer agreed to a three-month suspension and FINRA findings stating [...]
Michael Bell, Broker with Cetera Advisor Networks, Named in Customer Dispute Seeking $237K in Damages
Bell is accused of recommending unsuitable investments and over-concentration. The [...]
- Alec Franks, Formerly of First Standard Financial, Barred by FINRA Over Failure to Cooperate with Investigation into Alleged Outside Business Activities and Excessive Trading Gallery
Alec Franks, Formerly of First Standard Financial, Barred by FINRA Over Failure to Cooperate with Investigation into Alleged Outside Business Activities and Excessive Trading
Alec Franks, Formerly of First Standard Financial, Barred by FINRA Over Failure to Cooperate with Investigation into Alleged Outside Business Activities and Excessive Trading
Franks refused to produce information or documents FINRA requested in [...]
- Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading Gallery
Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading
Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading
Maines allegedly exercised discretion in customer accounts without written authorization. [...]
