James allegedly formed and incorporated a company and failed to report such information to his member firm. The Sonn Law Group is investigating allegations that[…]
Broker / Advisor Investigations
Coogan allegedly misrepresented material facts in agreements he signed in connection with loans his customers obtained from multiple banks. The Sonn Law Group is investigating[…]
Martin was barred after failing to respond to two requests for information and documents by FINRA. The Sonn Law Group is investigating allegations that Ashley[…]
Boggs was previously barred by FINRA in 2019 for the same misconduct. The Sonn Law Group is investigating allegations that Marcus Boggs misappropriated funds. If[…]
Kozi, who had worked at 18 firms since 1987, has been suspended for two years. The Sonn Law Group is investigating allegations that Halil Kozi[…]
O’Hara consented to a nine-month suspension and a $10,000 fine for his misconduct. The Sonn Law Group is investigating allegations that Frederic O’Hara engaged in[…]
Farrah was being investigated based on allegations that he sold securities away from his member firm without their knowledge or approval. The Sonn Law Group[…]
Crain consented to a three-month suspension and a $5,000 fine imposed by FINRA. The Sonn Law Group is investigating allegations that John Stuart Crain altered[…]
The SEC entered a final consent judgment against Hafen, who was charged in September 2019 with misappropriation of clients’ funds. The Sonn Law Group is[…]
CCA allegedly made misrepresentations to investors in their Hedged Futures Strategy Fund The Sonn Law Group is investigating allegations that Catalyst Capital Advisors made material[…]