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.
Corbin Lambert, Former CEO of Continuum Financial, Charged by SEC with Conducting Cherry-Picking Scheme
The Nebraska advisor is accused of engaging in a cherry-picking [...]
Lindner Capital Investors and its Founder, Robert J. Lindner, Charged by SEC
Lindner and its owner are accused of making false statements [...]
Craig Zabala, Owner of Concorde Group Holdings, Charged with Fraud by SEC
Zabala is accused of defrauding investors in his company. The [...]
Andrew Perri, Investment Adviser with Pinnacle Wealth Management, Named in Customer Dispute Alleging Unsuitable Recommendations
Perri is also accused of making misrepresentations to his client. [...]
Michael Martino, Broker with Four Points Capital Partners, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
Martino has three pending customer disputes seeking over $800K in [...]
John Orlando, Broker with SW Financial, Facing Pending Customer Disputes Over Unsuitable Investment Recommendations
Orlando faces three pending disputes seeking over $1M in damages. [...]
William Baumner, Broker with TradeSpot Markets, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
Baumner has two pending customer disputes seeking over $100K in [...]
Neil James Buono, Formerly of Taylor Capital, Barred by FINRA Following Allegations of Forging Client Signatures
Buono was barred after refusing to appear for on-the-record testimony [...]
Ronald Birnbaum, Broker with Advisory Equity Services, Named in Four Customer Disputes Seeking Over $600K in Combined Damages
Birnbaum was accused of unsuitable investment recommendations, over-concentration, and failure [...]
