FINRA allegations state that two former brokers of Royal Alliance stole clients’ funds. The Sonn Law Group is investigating allegations that Royal Alliance Associates failed[…]
Investment Loss Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Allegations against GPB Capital continue to mount as indictments pile up. The Sonn Law Group is investigating allegations that brokers recommended investments in GPB Capital[…]
The SEC filed an emergency enforcement action, obtained a temporary restraining order, and froze the assets of Courtright and the company. The Sonn Law Group[…]
National Planning Corp. allegedly sold fraudulent promissory notes, non-traded REITs, and other unsuitable investments to an elderly investor. The Sonn Law Group is investigating allegations[…]
Todd Skelton, former Northeast market president of Autonation, Inc., was named CEO on Tuesday. The Sonn Law Group is investigating allegations that brokers recommended investments[…]
GPB Capital investors claim their advisors have recommended that they wait it out, insisting audits will be released. The Sonn Law Group is investigating allegations[…]
T2 Biosystems investors face the risk of significant losses. The Sonn Law Group is investigating allegations that T2 Biosystems committed misconduct. If you or a[…]
The firm was also ordered to pay restitution and disgorgement to customers who suffered losses. The Sonn Law Group is investigating allegations that Key Investment[…]
The client was awarded compensatory damages for $330,000 for Intel Corporation stock losses. The Sonn Law Group is investigating allegations that Merrill Lynch advisors committed[…]
The firm was also ordered to pay restitution in the amount of $29,805.13. The Sonn Law Group is investigating allegations that International Assets Advisory committed[…]