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.
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 [...]
Marshall Isaacson, Formerly of Newbridge Securities, Barred by FINRA After Refusing to Provide Documents and Information
Isaacson has been named in multiple customer disputes alleging unsuitable [...]
Michael Kamperman, Formerly of HD Vest Investment Services, Named in Multiple Customer Disputes Seeking $600K in Damages
Kamperman is accused of making unsuitable and excessive trades in [...]
Cygnus Capital Management and Late CEO Richard Ventrilla Charged by SEC with Fraud
The company and Ventrilla’s estate are accused of defrauding at [...]
Craig Foreman, Broker for Edward Jones, Facing Customer Dispute Alleging Fraud
The Texas broker’s former client is seeking $854K in damages. [...]
Jeffrey Dillman, Broker for Trustmont Financial, Named in Customer Dispute Seeking Over $375K in Damages
Dillman is accused of making unsuitable recommendations and common law [...]
Scott Fries, Formerly of TransAmerica Financial Advisors, Charged by SEC with Defrauding Clients
The SEC claimed Fries has defrauded at least seven investors [...]
Paul Antevy, Broker with FMSBonds, Named in $500K Customer Dispute Alleging Junk Bond Sales
Antevy is accused of misleading an investor into investing in [...]
Frank Mastrosimone, Broker with Pruco Securities, Accused of Making Inappropriate Private Investment Recommendation
Mastrosimone is facing a $100K customer dispute over the allegations. [...]
