FINRA barred Springsteen-Abbott after investigations into misusing client funds and misleading investors. The Sonn Law Group is investigating allegations that Kimberly Springsteen-Abbott misused client funds.[…]
Broker / Advisor Investigations
Serizawa, currently employed by Woodbury Financial, is accused of selling GPB private placements. The Sonn Law Group is investigating allegations that Daryl Serizawa recommended private[…]
Batstone allegedly transferred customer funds to his personal accounts to be used for personal expenses. The Sonn Law Group is investigating allegations that Martin Batstone[…]
Murphy is facing a four-month suspension and a fine of $5,000 for the misconduct. The Sonn Law Group is investigating allegations that Thomas Murphy signed[…]
Cody previously pled guilty to criminal charges alleging that he defrauded retirees. The Sonn Law Group is investigating allegations that Richard Cody committed fraud. If[…]
Hannes refused to provide documents and information requested by FINRA in connection with their investigation into allegations that Hannes converted customer funds. The Sonn Law[…]
Nimmow allegedly sold promissory notes to investors totalling over $3M, without disclosing or receiving approval from his member firm. The Sonn Law Group is investigating[…]
Hawke has been the subject of eight customer disputes, two employment terminations, and one suspension over his career. The Sonn Law Group is investigating allegations[…]
Bosh alleged fraud, breach of contract, and failure to supervise, among other violations. The Sonn Law Group is investigating allegations that Jeffrey Wiseman committed misconduct.[…]
Frank has been the subject of two other customer disputes over his career, both of which were settled. The Sonn Law Group is investigating allegations[…]