A retired customer allegedly suffered losses due to investments sold to him by Raymond James & Associates in Biscayne Capital. The Sonn Law Group is[…]
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.
Toni Caiazzo Neff reported that she has been followed and had her car tampered with. The Sonn Law Group is investigating allegations that brokers have[…]
A federal lawsuit claims GPB Capital Holdings has been paying investors dividends out of their own invested funds. The Sonn Law Group is investigating allegations[…]
Taylor Capital Management’s failure shows an increase in unpaid claims is likely. The Sonn Law Group is investigating allegations that brokers have recommended investments in[…]
Financial reports indicate that Sanchez Midstream’s share price has declined 86% in the last year. The Sonn Law Group is investigating Sanchez Midstream Partners. If[…]
Triad Advisors is currently facing six FINRA customer arbitration complaints relating to sales of GPB Capital. The Sonn Law Group is investigating allegations that brokers[…]
GPB Capital is the Target of Multiple Investigations Related to Allegations that it May be a Ponzi Scheme Did your broker / advisor reccomend investing in[…]
Bolton Global Asset Management was charged with failing to disclose material conflicts of interest. The Sonn Law Group is investigating allegations that Boston Global Asset[…]
A lawsuit has been filed on behalf of an investor in GPB Automotive Fund. The Sonn Law Group is investigating allegations that brokers have recommended[…]
Several Kalos Capital brokers have been hit with arbitration claims over unsuitable investments in GPB Capital Funds. If you’ve lost money in GPB Capital, we[…]