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.
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. [...]
Kevin Meadows, Formerly of IBN Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations
The dispute also accuses Meadows of excessive trading, breach of [...]
