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- FANG Sector Losses – Facebook, Amazon, Netflix, Google parent Alphabet
- Volatility Trade Losses
- LJM Preservation and Growth Fund Losses
- Timary Delorme and Wedbush Securities Inc.
- The Woodbridge Group of Companies, LLC
- Merrill Lynch Market-Linked Notes
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- Inland American – InvenTrust
- Aequitas Capital Investigation
- Wells Fargo Growth Award
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- Third Avenue Focused Credit Fund
- Morgan Stanley's Recommendations of Cobalt International Energy and Seadrill Ltd.
- Wells Fargo’s High Pressure Sales Culture
- LPL Financial, LLC Non-Traded REITs
- Behringer Harvard
- Business Development Companies (BDCs)
- REITs - Real Estate Investment Trusts
- LPL Financial terminates Houston based broker, James “Jeb” Bashaw
- Municipal Fixed Income Investments Containing Puerto Rican Bonds
- JP Morgan Chase's Sale of Proprietary Mutual Funds
- Citigroup's Falcon, ASTA and MAT Hedge Funds
- Municipal Arbitrage Losses in 1861 Capital Management
- LaeRoc Fund Losses
- Reverse Convertibles
- DBSI Inc.
- Medical Capital Holdings and Provident Asset Management
- Striker Petroleum, LLC
- Charles Schwab YieldPlus Fund
- Lehman Brothers Principal Protected Notes
- Auction Rate Securities
- Morgan Keegan Bond Mutual Fund and Closed End Funds
- Jefferson County Alabama Bond Failure
- Bear Stearns Hedge Funds
- TICs – Tenant In Common Investments
- State Street Bank and Trust Company and State Street Global Advisors, Inc.
- CSO Partners Hedge Fund
- The Fidelity Ultrashort Bond Fund (FUSFX)
- Subprime Investments
- Aravali Fund
- Berkshire Resources, LLC
- CIT Group Inc. InterNotes
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