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.
Kevin Meadows, Formerly of IBN Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations
The dispute also accuses Meadows of excessive trading, breach of [...]
Carl Schwartz and RRBB Asset Management, LLC Charged by SEC with Conducting Cherry-Picking Scheme to Defraud Investors
Schwartz is the president, co-owner and managing member of RRB [...]
Michael Cohn, Former Chief Compliance Officer for GPB Capital Holdings, Pleads Guilty to Theft of Government Property
Cohn, who previously worked for the SEC, was charged with [...]
Steven Rodemer, Formerly of Stifel, Nicolaus & Company, Fined by SEC Following Allegations of Scamming an Elderly Client
Rodemer agreed to pay a $385K fine for using a [...]
Steven Fitzgerald Brown, Owner of Alpha Trade Analytics, Charged By SEC with Fraud
Brown is accused of engaging in a Ponzi-like scheme with [...]
Phillip Conley, Formerly of Merrill Lynch, Indicted for Role in Fraudulent Securities Offering
Conley was indicted on six counts of mail fraud and [...]
Peter Ianace, Formerly of Wells Fargo, Barred by FINRA For Refusing to Cooperate with Investigation
FINRA initiated an investigation into Ianace based on allegations of [...]
Rani Soto, Formerly of Prudential Investment Management, Named in FINRA Complaint Alleging Failure to Disclose Outside Business Activities
The complaint alleged that Soto withheld the information because he [...]
Gary Wykle and Alejandro Cortes, Principals of The Republic Group, Charged by SEC for Engaging in Alleged Ponzi Scheme
The SEC’s complaint charged the parties with misappropriating over $1.2M [...]
