FINRA charged that LPL failed to establish and maintain an adequate supervisory system. The Sonn Law Group is investigating allegations that LPL Financial failed to[…]
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.
After a merge, Franklin Square BDC Investments put investors at risk with alternative investments that may have caused them significant losses Sonn Law Group is[…]
Investors are at risk after GeoStellar, Inc filed for bankruptcy Sonn Law Group is representing investors who have suffered losses investing in GeoStellar Inc. If[…]
Hartman Short Term Income Properties XX, Inc failed to conduct adequate due diligence on investments and now their investors are at risk Sonn Law Group[…]
Stira Alcentra Global Credit Fund failed to conduct adequate due diligence on investments and now their investors are at risk Sonn Law Group is representing[…]
Inexperienced and unsuspecting investors who have been advised to invest in alternative investments like FSKR may be at risk Sonn Law Group is representing investors[…]
Investors who have been improperly advised to invest in RealSource Equity Services LLC may be at considerable risk Sonn Law Group is representing investors who[…]
Strategic Student & Senior Housing Trust, Inc. investors seek claims that they were sold risky investments from brokers The Sonn Law Group is currently investigating[…]
NorthStar has named Richard Welch as its new chairman, effective immediately. The Sonn Law Group is currently investigating allegations that brokers recommended investments in Northstar[…]
Watermark Lodging Trust investors are suffering losses when they attempt to sell their shares Sonn Law Group is representing investors who have suffered losses investing[…]