:
Updated:
Centaurus Financial Allegedly Unsuitably Recommended GWG Holdings L Bonds, Claims Another Texas Retiree
:
Updated:
SSEK Law Firm Investigates Financial Gravity Family Office Services Adviser Mark Williams in Carmel, CA Over Possible GWG L Bond Sales
:
Updated:
Claimant Says Cetera Investment Services Unsuitably Recommended Northstar Healthcare Income, Healthcare Trust, and Griffin Realty Trust
:
Updated:
Texas Retirees Pursues 6-Figure GWG L Bond Claim Against Centaurus Financial
:
Updated:
Emerson Equity Broker Tony Barouti Facing $1.37M in GWG L Bond Claims
:
Updated:
FINRA Fines Berthel Fisher $100K Over Options Trades
:
Updated:
Former Customers of Calton & Associates Broker Paul Murphy Request Over $589K in Damages
:
Updated:
Barred Ex-Wells Fargo Broker Jeremy Fortner is Named in Nine Customer Disputes
:
Updated:
At Least 27,000 L Bond Investors Left At a Loss Following GWG Holdings’ Bankruptcy Filing
:
Updated:
Following GWG Holdings’ Chapter 11 Bankruptcy, SSEK Law Firm Steps Up Investigation of Brokerage Firms That Sold L Bonds
:
Updated:
SEC Sues Ex-Morgan Stanley Broker Shawn Good Over Alleged $4.8M Ponzi Scam
:
Updated:
GWG Holdings Files For Chapter 11 Bankruptcy Protection
:
Updated:
Ex-Transamerica Financial Advisors Broker Scott Allen Fries Ordered To Pay Over $747K For Allegedly Defrauding Investors
:
Updated:
SSEK Law Firm is Investigating Poor Performing High-Yield Bond Funds for Investors
:
Updated:
SSEK Law Firm Investigates Claims of Investor Losses Involving Grab Holdings, Ltd.
:
Updated:
SSEK Law Firm Investigates St. George’s Ltd. Losses For Investors
:
Updated:
UBS Financial Services To Pay YES Investors Almost $1.2M
:
Updated:
NI Advisors Sold GWG L Bond To Inexperienced Investor Who Suffered Losses
:
Updated:
GWG Holdings Expected To File For Chapter 11 Bankruptcy
:
Updated:
Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services
:
Updated:
Dempsey Lord Smith, BD4IA, and Geneos Wealth Management Fined For Selling GPB Private Placements To Customers
:
Updated:
McNally Financial Services’ Recommendation of Lightstone Real Estate Income Trust Leads To Couple’s Losses
:
Updated:
Ocean Financial Services’ Recommendation of Northstar Financial Services (Bermuda) Leads to Six-Figure Loss for Houston Investor
:
Updated:
Retired Missouri Couple Say Center Street Securities and LaTour Asset Management in Springfield Unsuitably Recommended GWG L Bonds
:
Updated:
Another Mexican Investor Pursues JP Morgan Securities Over Omnia/Old Mutual (Bermuda) Losses
:
Updated:
Beechwood Bermuda Investor Seeks Up to $500K From Cetera and Broker Leo Li-Yuan Chien
:
Updated:
Ex-Kestra Broker Chadwick Collins’ Customers Seek Over $3.3M in Damages
:
Updated:
Ex-IFS Securities Broker Steven Schisler Barred Following Unsuitable Investment Recommendations
:
Updated:
Arizona Retirees Win $2.6M FINRA Arbitration Award Against First Allied Securities
:
Updated:
Former Wells Fargo Broker Mario Rivero Charged With $500K Investment Fraud
:
Updated:
Infinity Q Founder James Velissaris Accused of Over $1B Valuation Fraud
:
Updated:
Ex-Garden State Securities Broker Joseph DeGregorio Allegedly Defrauded Elderly Investors
:
Updated:
SSEK Law Firm Continues to Investigate Northstar Financial Services (Bermuda) Losses Involving East West Bank
:
Updated:
Advisor Group Broker-Dealers Facing $19.4M in GPB Capital Holdings Investor Claims
:
Updated:
FINRA Suspends Ex-Stifel Nicolaus Broker Andrew Elsoffer for Two Years
:
Updated:
Class Action Securities Lawsuit Filed Against GWG Holdings Over L Bond Losses
:
Updated:
Trusts of Late Investor Awarded $1.875M in UBS YES Case
:
Updated:
Appointment of Class Representatives in Northstar (Bermuda) and Omnia Liquidations Doesn’t Help Investors
:
Updated:
Ex-Worden Capital Broker William Athas Accused of Excessive Trading That Cost Customers $1.1M
:
Updated:
Massachusetts Charges Purshe Kaplan Sterling Investments Over Investors’ $2.3M in ETF Losses
:
Updated:
Investor Files Claim Against FSC Securities Over FS Energy and Power Fund & Northstar Healthcare REIT Losses
:
Updated:
Customers of Ex-Oppenheimer Broker Dennis Ayre Are Requesting Around $7.6M in Damages
:
Updated:
MSC-BD Ordered to Pay Widow $221K Over GPB Private Placement Losses
:
Updated:
Emerson Equity Broker Tony Barouti May Have Sold GWG L Bonds to Customers
:
Updated:
GWG Holdings Defaults On $13.6M Owed To L Bond Investors
:
Updated:
Another Bankoh Broker Yoko Farias Customer Files Six-Figure Northstar Financial Services (Bermuda) Claim
:
Updated:
Number of Customer Disputes Involving Ex-Ameriprise Broker James Dunn Skyrockets
:
Updated:
Ex-Morgan Stanley Broker Darryl Cohen, Accused of Defrauding Pro Athletes, To Be Barred by FINRA
:
Updated:
Ex-Landolt Securities Broker Anthony Cottone Allegedly Misappropriated $2.8M of Client Funds
:
Updated:
SSEK Law Firm Investigates Investors’ Losses From GWG L Bonds Sold By Aegis Capital, Emerson Equity, and Many Others
:
Updated:
HIT REIT Investor Pursues Six-Figure FINRA Arbitration Claim Against NPB Financial
:
Updated:
GWG Holdings Misses $13.6M in Payments to L Bond Investors
:
Updated:
Fidelity Accused of “Lackadaisical” Vetting of Investors Wanting To Trade in Complex, Risky Investments
:
Updated:
Former UBS Broker German Nino Allegedly Stole $5.8M From Client
:
Updated:
Investors Pursue Six-Figure Northstar Financial Services (Bermuda) Claim Against Raymond James & Copper Financial Who Were UNFCU Clients
:
Updated:
Newbridge Securities Sold Hospitality Investors Trust To Customers
:
Updated:
Barred Wells Fargo Broker Scott Reed Accused of Selling Investments Without Firm’s Permission
:
Updated:
Suspended Delta Securities Broker Sean Casterline Allegedly Sold Away to Customers
:
Updated:
Senior Investors Say Seeman Holtz Reneged On Paying Them Millions
:
Updated:
UBS YES Clients of Broker William Cerf Want $16.5M in Damages
:
Updated:
Customers of Morgan Stanley Broker Michael Wagner Seek Over $20M in Damages
:
Updated:
Triad Advisors To Pay $195K Fine and More Than $510K in Restitution For LJM Fund Sales
:
Updated:
FINRA Fines Merrill Lynch $1.2M and $950K
:
Updated:
DOJ Sends Letter to GPB Ponzi Scheme Victims
:
Updated:
Customers of UBS Broker Roderick Von Lipsey Report UBS YES Losses
:
Updated:
McNally Financial Services Broker Mark Kemp Has Been Named in 11 Customer Disputes
:
Updated:
Former GPB Capital Holdings CEO David Gentile Sues The Alternative Asset Firm
:
Updated:
Ex-Worden Capital Markets Broker Mark Kolta Has Been Named in 26 Customer Disputes
:
Updated:
RBC Capital Markets to Pay $1M Over Unsuitable High-Yield Bond Concentration in Customer Accounts
:
Updated:
Former First Allied Securities Broker David Kennon Faces Unsuitability Allegations
:
Updated:
J.P. Morgan Fined $200M by SEC & CFTC Over Messaging and Communications Violations
:
Updated:
Ex-Parkland Securities Broker Keith Ashley, Who Is Accused of Murder, Faces FINRA Charges
:
Updated:
Two Wells Fargo Broker-Dealers to Pay $3.1M in FINRA’s UIT Investigation
:
Updated:
Ex-Ameriprise Broker James Dunn is Accused of Unsuitability, Unauthorized Trading
:
Updated:
SSEK Law Firm Investigates Losses Involving NorthStar Real Estate Investment Trust (Now N1 Liquidating Trust)
:
Updated:
SSEK Law Firm Client of Fired J.P. Morgan Securities Broker Ed Turley Wins $4 Million FINRA Arbitration Award
:
Updated:
Customers Accuse LPL Broker Cynthia Giovacchino of Making Unsuitable REIT Recommendations
:
Updated:
Former Morgan Stanley Broker Jesus Rodriguez Is Barred by FINRA
:
Updated:
Retiree Files 7-Figure Northstar Financial Services (Bermuda) Claim Against Cetera
:
Updated:
Customers Accuse Ex-Cetera Broker Robert Wolfe of Unsuitability and Omissions
:
Updated:
MML Investors Services Broker Daniel Lauletta Named in $1M Customer Dispute
:
Updated:
Fired Edward Jones Broker Ronald Molo Accused of Defrauding Senior Customers
:
Updated:
Ex-Raymond James Broker Guilford Nergard Is Accused of Making Unauthorized Trades
:
Updated:
Investor Pursues $500K GPB Capital Claim Against TD Ameritrade
:
Updated:
GPB Capital Holdings Concludes Sale of Prime Automotive Group
:
Updated:
SSEK Law Firm Continues to Investigate Brokers Who Sold Hospitality Investors Trust
:
Updated:
Customers of Ex-Arkadios Capital Broker Marc Korsch Claim $2.8M in Damages
:
Updated:
Aegis Capital To Pay $2.75M For Churning in FINRA Case
:
Updated:
SSEK Law Firm Continues to Investigate Hancock Whitney Broker Robin Platt Over Investors’ Northstar Financial Services (Bermuda) Losses
:
Updated:
FINRA Bars Fired Cambridge Investment Research Broker David Melilli Over Alleged Unauthorized Trading
:
Updated:
Moody National REIT II Announces Postponement of Valuation of Shares
:
Updated:
Cetera Advisors Broker Jeffrey Meyers Accused of Making Unsuitable REIT Investment Recommendations
:
Updated:
FINRA Bars Ex-Wells Fargo Broker James Seijas Who Is Accused In More Than $33M Ponzi Scam
:
Updated:
Ex-Worden Capital Management John Cangialosi Ordered to Pay $271,622 in Customer Restitution
:
Updated:
SEC Accuses Fired Wells Fargo Broker Kenneth Welsh of Stealing Nearly $3M From Customers
:
Updated:
Caribbean Investor Pursues Six-Figure Northstar Financial Services (Bermuda) Case Against Raymond James Financial Services
:
Updated:
Utah Retirees File Six-Figure GBP Investor Claim Against Woodbury Financial Services
:
Updated:
Ex-Western International Securities Broker Megurditch Patatian Allegedly Unsuitably Recommended Non-Traded REITs to Investors
:
Updated:
Former Worden Capital Broker Allan Montalbano Faces $543K Unsuitability Case For Broker Negligence
:
Updated:
Former LPL Financial Broker James Couture Rejects Plea Deal Over Misappropriation Allegations
:
Updated:
Florida Retirees File $2.5M FINRA Arbitration Case Against Henley & Co. Over Alleged Ponzi Scam Losses
:
Updated:
FINRA Probes Broker-Dealers’ Activities Related to SPACs
:
Updated:
Customers of Western International Securities Broker Peter Steege Allege Unsuitability
:
Updated:
More Customers Say UBS Broker Brian Donaldson Unsuitably Recommended Yield Enhancement Strategy
:
Updated:
GPB Capital Founder David Gentile Claims Firm Owes Him Millions of Dollars
:
Updated:
Northstar Financial Services (Bermuda) Investor Pursues $500K Claim Against Raymond James Financial Services
:
Updated:
SEC Files Fraud Charges Against Barred Broker Michael Shillin Who Is Named In 37 Disputes
:
Updated:
Investors Accuse Ex-Forta Financial Group Broker Gregory Williams of Broker Misconduct
:
Updated:
UBS to Pay More Than $1.1M in Two Yield Enhancement Strategy Cases
:
Updated:
Customer of Ex-Raymond James Broker Alberto Valdes Claims Northstar Global Advantage Select Losses
:
Updated:
Mexico Investors File $500K Northstar Financial Services (Bermuda) Claim Against Wells Fargo Clearing Services
:
Updated:
SSEK Law Firm Files FINRA Arbitration Claims Against J.P. Morgan For Customers of Fired Broker Ed Turley
:
Updated:
Central American Retiree Suffers Six-Figure Loss After Truist Investment Services Unsuitably Recommends Northstar Financial Services (Bermuda)
:
Updated:
Elderly Chinese Retiree Files Six-Figure PB Investment Holdings Case Against Cetera Investment Services
:
Updated:
Ex-Oppenheimer Broker John Woods Accused of Running $110M Horizon Private Equity III Ponzi Scam
:
Updated:
Ex-Voya Financial Advisors Broker Ronnie Metcalf Faces Over $6.5M in Current Customer Disputes
:
Updated:
SSEK Law Firm to File Northstar Financial Services (Bermuda) Claim On Behalf of UNFCU Member
:
Updated:
Former CFD Investments Broker Dana Vietor Facing Over $3M in Customer Complaints
:
Updated:
American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes
:
Updated:
GPB Capital Sells Prime Automotive Group Dealerships for $880M
:
Updated:
Customers Accuse Fired Ameriprise Broker Ted Cadwallader of Making Unsuitable Investment Recommendations
:
Updated:
Representatives To Be Appointed For Each Investor Class in Northstar Financial Services (Bermuda) Liquidation Proceedings
:
Updated:
Sin Respuestas De La Corte En Cuanto al Reembolso de Activos – Representantes de Cada Clase de Inversionistas Serán Nombrados En Los Procedimientos de Liquidación de Northstar Financial Services (Islas Bermudas)
:
Updated:
Northstar Financial Services (Bermuda) Owner Greg Lindberg Sued by Puerto Rican Insurer for $524M
:
Updated:
SEC Investigates Ex-MVP American Securities Broker Mike Shustek Over REIT Investors’ Losses
:
Updated:
Tokyo Investors File $500K Northstar Financial Services (Bermuda) Arbitration Claim Against UnionBanc Investment Services
:
Updated:
Customers of Former Worden Capital Management Broker Christ Baltas Request Over $614K in Damages
:
Updated:
SSEK Law Firm Continues to Investigate Former J.P. Morgan Broker Ed Turley
:
Updated:
SEC Accuses SPAC Stable Road Acquisition Company and Others of Misleading Investors
:
Updated:
SSEK Law Firm Wins $400K UBS YES FINRA Arbitration Award For Investors
:
Updated:
Former LPL Financial Broker Kevin McCallum Facing Over $4.8M in FINRA Arbitration Claims
:
Updated:
Chinese Retiree Pursues Up To $500K From Cetera Over PB Investment Holdings Losses
:
Updated:
Ex-SagePoint Financial Broker Grant Birkley Faces $2.3M of Investor Fraud Claims
:
Updated:
Customers of Ex-Aegis Capital Broker Scott Hananel Claim Investment Losses
:
Updated:
Customers of Vanderbilt Financial Broker Jeffrey Gitterman Seek Damages for Unsuitable Investments
:
Updated:
$500K Northstar Financial Services (Bermuda) Claim Brought Against Truist Investment Services by Venezuelan Investors
:
Updated:
Brokerage Firms With History of Misconduct Will Have To Put Money Aside for Investor Claims
:
Updated:
Did GPB Capital Holdings Executives Improperly Use Investors’ Money To Fund Personal Spending?
:
Updated:
Inappropriate COVID-19 Loan Applications Led To FINRA Sanctions for Brokers From Wells Fargo, J.P. Morgan Securities, and Merrill Lynch
:
Updated:
Senior Customer of Ex-NYLIFE Securities Broker Felix Chu Seeks Over $5M in Ponzi Scam Losses
:
Updated:
Benefit Street Partners Realty Trust to Merge With Capstead Mortgage Corp.
:
Updated:
Another Ex-Worden Capital Management Broker, Joseph Todaro, is Accused of Excessive Trading
:
Updated:
American Trust Investment Services Broker David Geake Is Facing Over $500K in Unsuitability Claims
:
Updated:
Florida Retiree Files $500K REIT Arbitration Case Against Securities America
:
Updated:
South American Retirees File $5M Northstar Financial Services (Bermuda) Investor Claim Against Raymond James & Associates
:
Updated:
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
:
Updated:
UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M
:
Updated:
NEXT Financial Group Reaches $750K Settlement Over Allegedly Unsuitable Short-Term Trading of Puerto Rico Bonds and Class A Mutual Funds
:
Updated:
Ex-Morgan Stanley Broker Francisco Valenzuela is Named in $500K Investor Claim Alleging Unsuitability
:
Updated:
Former LPL Broker Paul McGonigle is Accused of Defrauding Investors
:
Updated:
As July 26th Hearing Date Approaches, SSEK Law Firm Continues To Investigate Northstar Financial Services (Bermuda)
:
Updated:
SSEK Investigates Claims That Charles Schwab Recommended Advisory Firms Market Vida Longevity Fund To Customers
:
Updated:
Securities America Advisors Fined $1.75M For Allegedly Failing to Protect Customers From Ex-Broker Hector May Who Stole $8M
:
Updated:
J.P. Morgan Securities’ Recommendation of Old Mutual Bermuda Causes Mexican Investor To Suffer Six-Figure Loss
:
Updated:
David Lerner Associates Unsuitably Recommended Energy Resources 12 and Energy 11 To Disabled Widower
:
Updated:
Japanese Investor Says Bancwest Investment Services Recommendation Northstar Financial Services (Bermuda) Caused Six-Figure Loss
:
Updated:
FINRA Bars Worden Capital Management Broker Salvatore Pizzimenti Following Churning Allegations
:
Updated:
David Lerner Associates Broker Martin Walcoe May Have Sold Energy 11, Energy Resources 12, and SOAEX to Customers
:
Updated:
Merrill Lynch To Pay $11.6M To Settle FINRA Case Over Unsuitable Unit Investment Trust Rollovers
:
Updated:
FINRA Accuses Spartan Capital Securities Broker Mark Reda of Allegedly Excessive Trading In Customer Accounts and Making Unsuitable Recommendations
:
Updated:
SSEK Law Firm Investigates Claims That Raymond James Financial Services Marketed Northstar Financial Services (Bermuda) Recommendations To Investors Through UNFCU
:
Updated:
Hospitality Investors Trust Files For Chapter 11 Bankruptcy Protection
:
Updated:
Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration
:
Updated:
Lion Street Financial Broker Richard Baer Named in Disputes Seeking $1.85M in Damages
:
Updated:
Barred Mutual of Omaha Broker Edward Matthes Gets Over 5 Years in Prison For Investor Fraud
:
Updated:
SSEK Law Firm Continues to Investigate Broker-Dealers That Sold Northstar Financial Services (Bermuda) Products
:
Updated:
Customers of Ameriprise Financial Services Broker Kevin Houser Seek $1.6M in Alternative Investment Losses
:
Updated:
Truist Investment Services Broker Stephen Berrocal Recommended Northstar Financial Services (Bermuda)
:
Updated:
Former Cetera Advisors Network Broker David Rockwell Sentenced To Prison For Fraud
:
Updated:
Japanese Customers of Bankoh Investment Services Broker Yoko Farias Suffer Six-Figure Northstar Financial Services (Bermuda) Losses
:
Updated:
Ex-Madison Avenue Securities Broker Jeffrey Dixson Named in Numerous GPB Investor Fraud Claims
:
Updated:
Ex-Cetera Advisors Broker Mark Barrand Accused of Making Unsuitable Investment Recommendations
:
Updated:
Florida Retiree Pursues Six-Figure Energy 11 Investor Fraud Claim Against David Lerner Associates
:
Updated:
FINRA Suspends Ex-MML Investors Services Broker Adam Belardino
:
Updated:
Northstar Financial Services (Bermuda) Investors Seek Up to $500K in Damages from SunTrust Bank Division, Truist Investment Services
:
Updated:
Old City Securities Broker Gregory Hersch is Named in $1.4M FF Fund I Investor Fraud Claim
:
Updated:
Ex-Wells Fargo Broker Ramon Herrera is Sentenced For Defrauding 40 Investors
:
Updated:
Ongoing Concerns About GPB Auto Group’s Ability to Survive
:
Updated:
Latin American Investor Files Six-Figure Northstar (Bermuda) Fraud Claim Against Truist Investment Services
:
Updated:
Ex-Customer Of Unionbanc Investment Services Broker Asako Thompson Files $500K Northstar Financial Services (Bermuda) Fraud Claim
:
Updated:
Ex-Cetera Investment Services Broker May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Customers
:
Updated:
Ex-LPL Financial Broker Matthew Clason Pleads Guilty To Defrauding Elderly Investor of $600K
:
Updated:
Ex-SagePoint Financial Broker Dan Dillard Sold GPB Private Placements to Customers
:
Updated:
O.N. Equity Sales Fined $1.3M Over Broker’s Unsuitable Investing Strategy
:
Updated:
Customer of UBS Broker Andrew Burish Seeks $23M Over Tesla Stock Losses
:
Updated:
Brokers May Have Unsuitably Recommended Lodging Fund REIT III
:
Updated:
Bank Losses From Archegos Collapse Exceed $10B After UBS and Morgan Stanley Report $861M and $911M Losses, Respectively
:
Updated:
Retiree Who Worked With Ex-Kestra Investment Services Broker James Daughtry Seeks Up To $500K in Damages
:
Updated:
Customer Says David Lerner Associates Broker Lawrence Merl Unsuitably Recommended Energy 11, LP
:
Updated:
Northstar Financial Services (Bermuda) Investor Seeks Up to $5M in Damages from Hancock Whitney Investment Services
:
Updated:
Retirees Seek Up to $500K in Northstar Financial Services (Bermuda) Claim Against J.P. Morgan Securities
:
Updated:
Purshe Kaplan Pays $1.6M Settlement To 50 Investors
:
Updated:
UBS Ordered To Pay $371K Award to YES Strategy Customers
:
Updated:
Merger Folds KMS Financial, Investacorp, and Securities Services Under Securities America Banner
:
Updated:
Former Customers of SagePoint Financial Broker Christopher Bice Seek More Than $2M in Damages
:
Updated:
Northstar Financial Services (Bermuda) to Liquidate After Extension Request Denied
:
Updated:
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
:
Updated:
SSEK Law Firm Investigates Bankoh Investment Services Brokers Over Northstar Financial Services (Bermuda) Sales
:
Updated:
SSEK Law Firm Investigates Ex-LPL Financial Broker Beliveau Bays For Unsuitable Non-traded REIT Recommendations
:
Updated:
Former Principal Securities Broker John Krohn Involved in $39M in Investor Fraud Claims
:
Updated:
Cambridge Investment Services, Securities America, and JW Cole Financial Fined Over LJM Preservation & Growth Fund Recommendations
:
Updated:
Georgia Retiree Files Non-Traded REIT Fraud Claim Against MML Investors Services
:
Updated:
Archegos Capital’s Massive Forced Liquidation is a Hard Hit to Global Banks Credit Suisse, Nomura and Others
:
Updated:
Geneos Wealth Management Named in $1M GPB Investor Fraud Claim
:
Updated:
Ex-Merrill Lynch Broker Marcus Boggs Pleads Guilty In $3M Investor Fraud
:
Updated:
SSEK Law Firm Investigates Brokerage Firms That Sold New York City REIT to Customers
:
Updated:
Ex-Ocean Financial Services Broker Maria Calcena Named In Customer’s Northstar Financial Services (Bermuda) Fraud Claim
:
Updated:
Advisor Group Broker-Dealers Named in GPB Capital Fraud Claims Raised Their Legal Reserves
:
Updated:
SEC Accuses Texas-Based Investment Adviser APEG Energy of $17M Oil and Gas Fraud
:
Updated:
Customer Of UBS Brokers Mark Zeller and Scott Rosenberg Awarded Nearly $90K Over YES Strategy Losses
:
Updated:
Why SPACs Can Be A Poor Investment Choice For Retail Investors
:
Updated:
RBC Capital Markets Broker Brian Wurdemann Named in $1M Mutual Fund Case Alleging Misrepresentations
:
Updated:
Jubilado entabla reclamación de fraude por $500,000 contra Truist Investment Services por inversión en Northstar Financial Services (Islas Bermudas)
:
Updated:
UBS YES Strategy Customers Of Broker Jason Dworak Awarded Over $1M
:
Updated:
GPB Capital Notifies Investors of Independent Monitor But Denies Ponzi Fraud Allegations
:
Updated:
FINRA Bars Former LPL Financial Broker Rhett Bedwell Following Ponzi Fraud Allegations
:
Updated:
Retiree Files $500K Northstar Financial Services (Bermuda) Fraud Claim Against Truist Investment Services
:
Updated:
Atria Wealth Solutions to Acquire SFC Securities Which Sold GPB Investments
:
Updated:
$1.8B Infinity Q Diversified Alpha Fund Stops Suspensions Following Fraud Allegations
:
Updated:
Missouri and Illinois Fraud Lawsuits Say Ex-GPB Capital Holdings CEO and Ascendant Capital Owner Illicitly Made Over $40M in Over $1.7B Ponzi Scam
:
Updated:
Ex-David Lerner Associates Broker Charles Bonilla Suspended For Alleged Unsuitable Energy Investment Recommendations
:
Updated:
Former Janney Montgomery Scott Broker Apostolos Pitsironis Arrested For Defrauding Investors
:
Updated:
Investor Blames David Lerner Associates Broker Glenn Werner For Investment Losses
:
Updated:
JP Morgan Securities & Two Former Brokers Ordered to Pay $19M, Found Liable for Elder Financial Abuse
:
Updated:
Triad Advisors To Pay $194K For Supervisory Failures Involving Short-Term Trading of Mutual Fund Class A Shares
:
Updated:
NY Retiree Says David Lerner Associates Broker Mike Norton Sold Her Unsuitable Energy 11 Investment
:
Updated:
SEC Seeks Court-Appointed Monitor To Protect Investors Victimized In Mass GPB Capital Ponzi Scam
:
Updated:
Woodbury Financial Services Broker Robert Ginsberg Accused of Unsuitable Investment Recommendations
:
Updated:
New York And Other States Sue GPB Capital Holdings For Mass Ponzi Scam
:
Updated:
Investors Seek $600K in Negligence Claims Naming Money Concepts Capital Broker Ray Reese
:
Updated:
GPB Capital Fraud Case Against Arete Wealth Management Results In $515K Arbitration Award
:
Updated:
SEC Says GPB Capital Holdings CEO and Executives Defrauded Over 17,000 Investors In $1.7B Ponzi Scam
:
Updated:
Commonwealth Financial Network Broker Joseph Leonczyk Sold FS Energy and FS KKR Investments To Customers
:
Updated:
GPB Capital Principals Indicted
:
Updated:
Ex- CEO’s Lawsuit Against GPB Capital Holdings’ Prime Automotive Group May Proceed
:
Updated:
Triad Advisors Broker Darrin Cohen Under Scrutiny Over Possible GPB Private Placement Sales
:
Updated:
Ex-MML Investors Services Broker Gary Hammond Accused of Making $1.6M In Unauthorized Transactions
:
Updated:
Investment Recommendations Don’t Always Equate To a Customer’s Best Interests
:
Updated:
GME, AMC, BB and Other High Flying Stock Losses
:
Updated:
Ex-Ameriprise Broker Angel Bardeche Accused of Earning $450K From Allegedly Unsuitable Mutual Fund Switches
:
Updated:
Customers Seeking $1.8M Over Investments Recommended By Western International Securities’ David Bibo
:
Updated:
Crown Capital Securities Broker Lanny Howarter Is Named in $600K Unsuitability Claim
:
Updated:
David Lerner Associates Broker Rafael Klein May Have Unsuitably Recommended Energy 11 To Investors
:
Updated:
FINRA Orders Worden Capital Management to Pay Over $1.5M For Brokers’ Churning
:
Updated:
LPL Financial Acquires Lucia Securities
:
Updated:
SunTrust Brokers May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Investors
:
Updated:
LPL Financial Fined $6.5M by FINRA Over Inadequate Supervision
:
Updated:
Utah Retirees Files $500K Investor Fraud Claim Over GPB & REIT Losses After Working With Triad Advisors & Broker Michael Payne
:
Updated:
Crown Capital Securities Broker Kenneth Barroga Under Scrutiny For Possibly Selling GPB Private Placements
:
Updated:
Transamerica To Pay $8.8M Over Unsuitable Mutual Fund, 529 Plans, and Variable Annuity Sales
:
Updated:
SEC Sanctions Voya Financial Advisors $23M Over Conflicts That Cost Customers
:
Updated:
Ex-Merrill Lynch Broker Gets Eight Years in Prison For Investor Fraud
:
Updated:
Customers Blame Ex-Wells Fargo Broker Clearing Services Herbert Weith For Variable Annuity Losses
:
Updated:
Ex- NPB Financial Broker Cynthia Cowden Allegedly Recommended Investments That Were Too Risky For Senior Investors
:
Updated:
RBC Capital Markets Broker Joseph Chu Accused of Overconcentrating Customers’ Accounts in Oil and Gas Investments
:
Updated:
Broker Tamber Proctor Accused of Unsuitably Recommending FS Energy & Power Fund and the Northstar REIT
:
Updated:
Texas Retiree Files GPB Capital Fraud Claim Against Calton & Associates
:
Updated:
Municipalities’ Inability to Pay Bond Interest Places Investors in a Precarious Position
:
Updated:
Spirit of America Energy Investors May Have Grounds for Unsuitability Claims Against David Lerner Associates
:
Updated:
Coastal Equities To Pay $280K To Elderly and Retiree Clients Over Allegedly Unsuitable Trades
:
Updated:
Texas Wells Fargo Broker Kurt Gunter Is Sanctioned Over Allegedly Unsuitable UIT Sales
:
Updated:
OCC Orders JPMorgan Chase Bank to Pay $250M For Inadequate Risk Management Practices
:
Updated:
Brokers May Have Unsuitably Recommended ARC NYC REIT To Retail Investors
:
Updated:
Fired Morgan Stanley Brokers May Have Grounds for Wrongful Termination Claims
:
Updated:
New York Yankees’ Aroldis Chapman Files $3M Investment Fraud Claim Against Pro Management Resources
:
Updated:
Frontier Communications to Sell $2.8B of Junk Bonds as Part of Bankruptcy Exit
:
Updated:
First Republic Securities Brokers Mathew Babrick & James Wilcox Allegedly Unsuitably Recommended Harvest PWS
:
Updated:
Spartan Capital Securities Broker Joseph Kelly Is Accused of Making Unsuitable Investment Recommendations
:
Updated:
Royal Alliance, Securities America, & Other Firms To Pay $3M for Allegedly Unsuitable iPath S&P 500 VIX Short–Term Futures ETN & Other ETP Sales
:
Updated:
Hannes Financial Services’ Ronald Hannes Allegedly Defrauded Woodbury Financial Customers
:
Updated:
Not All Resource Real Estate Opportunity REIT Investors May Have Been Apprised of Risks
:
Updated:
Sierra Income Investors are Losing Money
:
Updated:
Multiple Investors Accuse Prime Capital Investment Advisors and Ex-Capital Securities Broker Luke Johnson of Unsuitable Investment Recommendations
:
Updated:
Global Investment Advisory Services’ Felipe Vargas is Named in Customer’s $1.3M Barclays Bank iPath Series B S & P 500 Short Term Futures ETN Claim
:
Updated:
Chinese Tycoon Sues UBS for $500M Over Losses Involving Margin Loan
:
Updated:
Customers of Peregrine Private Capital’s Robert Smith File GPB Investment Fraud Claims
:
Updated:
UBS YES Strategy Customers of Broker Eric Wittenberg Are Seeking at Least $1.8M in Damages
:
Updated:
UBS Recommended Noble Stock to Customers Until Company’s Bankruptcy
:
Updated:
Leo Financial Advisor and Pruco Securities Broker Robert Luley Allegedly Unsuitably Recommended GPB Automotive to Customers
:
Updated:
Intrinsic Value Partners Co-Founder and Noble Capital Markets Broker Joseph Hain Faces Misrepresentations Allegations
:
Updated:
Investors Blame UBS Broker and Edinroc Financial Group Head Jose Cornide For Recommending YES Strategy
:
Updated:
Another Customer Files REIT Losses Claim Against Frank Briseno III of FSC Securities and Nettworth Financial
:
Updated:
Ex-SagePoint Financial Broker Troy Baily Sold Future Income Payments Securities to Investors
:
Updated:
Pinnacle Investments Broker Paul DiPietro Faces New Securities Fraud Claims
:
Updated:
Investors Have Lost Money in RW Holdings NNN Real Estate Investment Trust
:
Updated:
Pinnacle Wealth Management Advisor Andrew Perri Faces Misrepresentation and Unsuitability Allegations
:
Updated:
Customers Accuse Ex-Fortune Financial Services Broker Jonathan Freeze of Alternative Investment Fraud
:
Updated:
Brokers Who Sold Vida Longevity Fund Investments May Have Made Misrepresentations and Omissions
:
Updated:
Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
:
Updated:
Widow Blames David Lerner Associates, Broker Gary Isler For Retirement Losses
:
Updated:
SEC Says Fired LPL Financial Broker Stole $300K From 73-Year Old Retiree
:
Updated:
Barred Securities America Broker Jaime Westenbarger Faces Securities Fraud Allegations
:
Updated:
Investor Filed $150K GPB Private Placement Case Naming Capital Wealth Management Advisor Lee Duckworth
:
Updated:
FINRA Suspends Fired First Southern Securities Broker Jaime Sanchez Rivera
:
Updated:
Investors Seek $455K In Damages Involving National Asset Management Adviser Willard Pugh
:
Updated:
Ex-Kalos Capital Broker Curtis Whipple Accused of Unsuitability & Misrepresentation Involving UDF IV
:
Updated:
Florida Retiree Loses Money in GPB Private Placements & REITs While Under Supervision Of CFG Capital Management Advisor Mark Cline
:
Updated:
FINRA Bars Ex-Newbridge Securities Broker Marshall Isaacson Following Unsuitability Claims
:
Updated:
More Customers File Unsuitability Claims Against ex-HD Vest Investment Services Broker Michael Kamperman
:
Updated:
Monex Grupo Financiero Customers Lose $40M in Alleged Ponzi Scam
:
Updated:
Ex-GPB Capital Holdings CCO Pleads Guilty to Theft of Government Property
:
Updated:
Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy
:
Updated:
Former Customer of Ex-Raymond James Broker Paul Steffany Wins $320K Award
:
Updated:
Frontier Communication Bonds Investors May Be Able To Recover Losses Through Broker Fraud Claims
:
Updated:
Ex-American Northcoast Securities Broker Dominic Tropiano Allegedly Defrauded ETF Investors
:
Updated:
FS Energy & Power Fund Investors Should Talk To A Broker Fraud Lawyer
:
Updated:
Arkansas Retiree Who Worked With Ex-LPL Financial Broker Rhett Bedwell Sues for $500K in Damages
:
Updated:
SEC Accuses Financial Advisor And Strategic Wealth Advisor Group of Stealing $2.2M From Senior Investors
:
Updated:
Brokers Unsuitably Recommended NorthStar Healthcare Income Non-traded REIT To Many Retail Investors
:
Updated:
Dallas Retiree Accuses UBS Of Unsuitably Recommending YES Strategy
:
Updated:
What Are The Risks of High-Yield “Junk” Bonds?
:
Updated:
SEC Says Joseph Stone Capital Broker Ross Barish Defrauded 16 Investors
:
Updated:
More Than 20 Investor Fraud Complaints Have Involved Ex-Morgan Stanley Broker Michael Paesano
:
Updated:
Morgan Stanley Wealth Management To Pay Over $949K for Inadequately Supervising Ex-Broker Kevin Gunnip
:
Updated:
Walter Valenzuela Is Another Kestra Investment Services Broker Facing Fraud Allegations
:
Updated:
My Stockbroker Breached Our Contract. What To Do Next?
:
Updated:
Investor Accuses Kestra Broker Stephen Curry in $7.7M FINRA Complaint
:
Updated:
Former Hilliard Lyons Stockbroker Christopher Bennett Named in 15 Securities Fraud Claims
:
Updated:
Concorde Investment Services Broker William Morrow Accused by Over A Dozen Investors of Stockbroker Fraud
:
Updated:
Morgan Stanley Broker Jeffrey Leach Accused of Fraudulent Misrepresentation and Unsuitable Investment Recommendations
:
Updated:
BDC Scorecard Portfolio Series 18 Losses Potentially Caused by Broker Negligence
:
Updated:
Dai Securities Broker Sold GPB Private Placements To Customers While At Previous Brokerage Firms
:
Updated:
Ex- Morgan Stanley Broker Pleads Guilty to $6M Investment Fraud
:
Updated:
Fired Ameriprise Broker Bryant Cavaness is Accused of Stockbroker Fraud & Ethics Violation Allegations
:
Updated:
Aegis Capital Broker Accused by Investors of Negligence, Unsuitable Investments and Unauthorized Trading
:
Updated:
GPB Capital Holdings Reports a Nearly $200M Drop In Assets Under Management
:
Updated:
First Western Capital Management Allegedly Placed Over $666M of Customers’ Money into Investments Reserved for Qualified Institutional Buyers
:
Updated:
Ex-NEXT Financial Broker Charles Kulch Accused of Overconcentrating Over 100 Massachusetts’ Investors in Risky REITs
:
Updated:
Northwestern Mutual Investment Services Fined $350K for Inadequate Supervision of Ex-Broker Sampson Pearson
:
Updated:
Ex-Merrill Lynch Brokers Charles Kenahan & Dermod Cavanaugh Investigated for Alleged Churning After Over $200M in Losses
:
Updated:
Despite $1.8B Ponzi Scam Allegations, GPB Capital Received Up to $7M in PPP Loans
:
Updated:
Customers Blame Newbridge Securities Broker Kerri Jamison For Investment Losses
:
Updated:
Once Again, GPB Capital Holdings Reneges On Giving Key Tax Documents to Investors
:
Updated:
Why Should Many San Francisco Investors Avoid Non-Traded REITs?
:
Updated:
National Securities Broker Frank Avallone Allegedly Recommended Unsuitable Investments to Customers
:
Updated:
Investors Lose Money After Brokers Recommend FS KKR Capital Corp II Fund
:
Updated:
Investors Accuse Purepath Wealth Management Investment Advisor & Crown Capital Securities Broker Dennis Haywood of Making Inappropriate Investment Recommendations
:
Updated:
Brokers May Have Sold Granite Point Mortgage Trust REITs Even When Unsuitable for Investors
:
Updated:
Moody National REIT II Investors May Have Grounds For Stockbroker Misconduct Claims
:
Updated:
Ex-Raymond James Broker Frederick Stow Is Accused of Stealing $1M from Senior Investors
:
Updated:
SagePoint Financial Ordered to Pay Over $1.6M for Early Unit Investment Trust Rollovers That Cost Investors
:
Updated:
$200K Investor Claim Against Arni Diamond, Of The Diamond Group, Alleges Unsuitable Alternative Investment Recommendations
:
Updated:
Nine Energy Service Investors May Have Grounds for Bond Fraud Claims to Recover Losses
:
Updated:
Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19
:
Updated:
Centaurus Financial & JP Turner Brokers Including Cindy Chiellini, Atul Makharia and Greg Scott Young Targeted South Carolina & Tennessee Retirees in Structured Products Scam
:
Updated:
Elderly Retiree Claims Sheppard Mosher advisor Jason Mosher Overconcentrated His IRA With GPB Private Placements
:
Updated:
Retiree Couple’s UBS YES Strategy Lawsuit Seeks Up to $1M in Damages and Losses
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Financial Advisors That Recommended AMLP and Other Oil & Gas Master Limited Partnerships
:
Updated:
Retiree Sues Kovack Securities and Its Broker Susan Penney Over Investment Losses
:
Updated:
SunTrust Investment Services to Pay $634K For Alleged Inadequate Supervision Of Unsuitable ETF Sales Practices
:
Updated:
Barred Wells Fargo Broker Named in Unsuitable Investment Fraud Case Recently Settled for $995K
:
Updated:
Massachusetts Sues GPB Capital Holdings for Defrauding Investors of Over $14M
:
Updated:
UBS YES Strategy Investors Say They Were Promised Low Risks But Suffered Huge Losses
:
Updated:
Investor Sues Kestra Investment Services For IRA Losses Involving Barred Broker James Daughtry
:
Updated:
Investors Accuse InSight Securities Broker Carlos Legaspy of StockBroker Fraud & Negligence
:
Updated:
Did You Suffer Investment Losses? How a San Francisco Broker Fraud Lawyer Can Help
:
Updated:
FMS Bonds Accused of Overconcentrating Texas Investor’s Portfolio in Bad Bonds, Including Frontier Communications Investments, Causes $1M in Losses
:
Updated:
Investors of Preferred Stocks Suffer Losses As Market Undergoes Nearly 5% Drop
:
Updated:
Top Warning Signs of Senior Investor Fraud that You Need to Be Aware of
:
Updated:
Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor
:
Updated:
Structured Products Are Not For Everyone In San Francisco. Here’s Why
:
Updated:
Securities Fraud In San Francisco: How You Can Protect Yourself
:
Updated:
Investing In Real Estate Investment Trusts (REITs): What Are They and What Risks Are Involved?
:
Updated:
National Securities Broker Michael Burkoff Accused of Unsuitable Investment Recommendations Involving Structured Products
:
Updated:
Trial of EX-GPB Capital Holdings CCO Michael Cohn is Delayed Over COVID-19 Concerns
:
Updated:
Ex-Next Financial Broker Charles Doraine is Barred Following Puerto Rico Bond Fraud Allegations
:
Updated:
David Lerner Associates May Have Sold Spirit of America Energy Fund, Energy Resources 12, and Energy 11 Investments to Conservative Investors and Retirees
:
Updated:
Timothy Kenska and Citigroup Global Markets Investigated For Securities Fraud
:
Updated:
First Allied Securities Broker William Fox Accused of Making Unsuitable Alternative Investments Recommendations
:
Updated:
COVID-19 Exacerbates High Risks of Collateralized Loan Obligations for Investors
:
Updated:
As United States Oil Fund Plunges 30%, Retail ETF Investors Should Worry About Losses
:
Updated:
Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim
:
Updated:
Shepherd Smith Edwards and Kantas Investigates NAV REIT and Real Estate Interval Funds Sold By Advisor Group
:
Updated:
Shepherd Smith Edwards and Kantas Investigating Claims From LPL Financial Customers Who Invested in Nontraded REITS and Publicly Traded Property Interval Funds
:
Updated:
Tata Arbitrage Fund and ICICI Prudential Among the Arbitrage Funds That Temporarily Shuttered Because of Coronavirus
:
Updated:
Unsuitable Broker Recommendations of Structured Notes, Including Callable Yield Notes and Autocallable Securities May Be Causing Investors’ Losses During COVID-19
:
Updated:
Investor Lawyers Blog