Sonn Law Blog

Browse posts from the Sonn Law Group blog below.

• Michael Joseph Whitaker, Broker with Newbridge Securities Corporations, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/23/2022)
• Kennister Ulesley Daley, Broker with Allstate Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/22/2022)
• Virgil Arthur Biggs, Broker with Avantax Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/21/2022)
• Lawrence Merl, Broker with David Lerner Associates, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/20/2022)
• Christopher Dyer Queen, Broker with Wells Fargo, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/19/2022)
• John August Van Wambeke, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Keep Clients Updated (5/18/2022)
• Debra Lynn Clark, Broker with Hornor, Townsend & Kent, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/17/2022)
• Thomas Craig Bonds, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/16/2022)
• Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Named in Multiple Customer Disputes Alleging Misappropriation and Fraud (5/15/2022)
• Nikolay Zotenko, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Engaging in Misleading Marketing of Private Placements (5/14/2022)
• Eduardo Moliterno Da Cruz, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses (5/13/2022)
• Brokers Sold GWG L Bonds for Years Despite Red Flags (InvestmentNews.com) (5/12/2022)
• Daniel Arthur Evans, Broker with Wells Fargo, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (5/12/2022)
• GWG Holdings L Bonds in Default as Company Files for Bankruptcy – Investors May Have Options for Financial Recovery (5/12/2022)
• Neal Edwin Nakagiri, Formerly of NPB Financial Group, Facing Customer Disputes Alleging Negligence, Unauthorized Trading, and Other Misconduct (5/11/2022)
• Kenia Naves Rocha, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses (5/10/2022)
• Vincent Bernard Mastrovito, Formerly of J.W. Cole Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations (5/9/2022)
• Joseph Langlois, Broker with DFPG Investments, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (5/8/2022)
• Michael Walter Mandel, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Participated in a Private Securities Transaction Without Approval (5/7/2022)
• Andrew Bruce Elsoffer, Formerly of Stifel, Nicolaus & Company, Suspended by FINRA Following Allegations of Unauthorized Trading (5/6/2022)
• Bentley Edward Blackmon, Formerly of Stephens, Suspended Following Allegations of Participation in Private Securities Transactions Without Notice (5/5/2022)
• Arkady Ginsburg, Broker with Aegis Capital, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (5/4/2022)
• GK Investment Holdings, LLC (“GKIH”) 7% Bonds Will Default if Maturity Date is Not Extended (5/4/2022)
• SEC: Synergy Settlement Services Defrauded Personal Injury Victims with Disabilities via Sham Non-profit (5/4/2022)
• SEC Charges Morgan Stanley Broker Shawn E. Good with Defrauding Clients in Ponzi Scheme (4/27/2022)
• Andrew Perry Hess, Formerly of Ameriprise Financial Services, Facing Pending Customer Dispute Alleging Failure to Diversify Portfolio (4/26/2022)
• Emerson Equity and Newbridge Securities Face Customer Complaints Over GWG L Bonds (4/26/2022)
• Richard Guy Duncan, Formerly of Ausdal Financial Partners, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (4/25/2022)
• Shad Ray Ketcher, Broker with J.W. Cole Financial, Facing Pending Customer Dispute Alleging Unsuitable Recommendations (4/24/2022)
• Carlos A. Estima, Broker with Insigneo Securities, Facing Pending Customer Dispute Alleging Investment Losses (4/23/2022)
• Paul William Murphy, Broker with Calton & Associates, Facing Pending Customer Disputes Alleging Various Forms of Misconduct (4/22/2022)
• Sonn Law Reminds GWG Bondholders to File Their Bankruptcy Claims (4/22/2022)
• Allan G. Snider, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (4/21/2022)
• Margaret Ann Laquidara, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Unsuitable Recommendations (4/20/2022)
• SEC Charges North Carolina Broker and Investment Adviser Shawn Good with Operating Multi-Million Dollar Ponzi Scheme (4/19/2022)
• Robert C. David, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations David Falsified Customers’ Account Profile Information (4/13/2022)
• Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services (4/13/2022)
• John Winslow, Formerly of Edward Jones, Barred by FINRA Following Refusal to Provide Information (4/12/2022)
• High-Yield Bond Funds Losses: Options for Investors (4/12/2022)
• Marianne O’Shee Smith, Formerly of Cetera Advisors, Barred by FINRA Following Diversion of Client Funds (4/11/2022)
• SEC Charges California Resident and His Investment Firm for Undisclosed Conflicts of Interest (4/8/2022)
• Tony Barouti, Broker with Emerson Equity, Named in Customer Dispute Alleging Losses in Customer Accounts (4/7/2022)
• Vincent Leonard Petrangelo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Supervise (4/6/2022)
• Jorge Luis Alfonso, Formerly with Snowden Account Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (4/5/2022)
• Lance Colby Watson, Broker with Dominion Investor Services, Named in Customer Dispute Alleging Losses in Customer Accounts (4/4/2022)
• John Todd Davis, Broker with Edward Jones, Named in Customer Dispute Alleging Failure to Follow Instructions (4/4/2022)
• John Dalton Phillips, Formerly with MetLife Securities, Named in Customer Dispute Alleging Misrepresentations and Omissions (4/3/2022)
• Kevin Marshall McCallum, Formerly with LPL Financial, Named in Customer Dispute Alleging Overconcentration of Investments (4/2/2022)
• Joshua Nathan Helmle, Formerly with Integrity Brokerage, Named in Customer Dispute Alleging Failure to Satisfy Supervisory Duties (4/1/2022)
• Mitchell Howard Hirsch, Broker with Fortune Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty (3/31/2022)
• Roy Daniel Budd, Broker with Morgan Stanley, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/30/2022)
• SEC Obtains Default Judgment Against Former Broker Scott Fries Following Allegations of Defrauding Retail Investors (3/29/2022)
• SEC Charges Former New Jersey Broker with Misappropriation of Client Funds (3/28/2022)
• FINRA Orders Colorado-based Geneos Wealth Management to Pay $400k (3/22/2022)
• Chadwick Collins, Broker with Wedbush Securities, Named in Multiple Customer Disputes Alleging Misconduct in Handling Customers’ Accounts (3/20/2022)
• Edmund Paul Murphy, Formerly of Robert W. Baird & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/19/2022)
• Faith Read Xenos, Broker with MSEC, LLC, Named in Customer Dispute Alleging Overconcentration in Customers’ Accounts (3/18/2022)
• Dustin Chase, Broker with JP Morgan, Named in Customer Dispute Alleging He Conspired With A Third Party to Change A Beneficiary (3/17/2022)
• David Sanford Wolfe, Broker with Aaron Capital, Named in Customer Dispute Alleging The Mishandling of An Account (3/16/2022)
• Esmeralda Espinoza, Formerly of First Financial Equity, Named in Customer Dispute Alleging Lack of Information (3/15/2022)
• Derek Christopher Roy, Broker with Fidelity Brokerage Services, Named in Customer Dispute Alleging He Withheld Material Information (3/14/2022)
• George Paul Fill, Broker with Rockwell Financial Group, Named in Customer Dispute Alleging Unauthorized Trades (3/13/2022)
• Jason Leonard Garofalo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/12/2022)
• Gerald James Ohalloran, Broker with Union Capital Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/11/2022)
• Kentucky Teachers’ Retirement Fund Loses $3M After Selling Investment in Russian Bank (3/10/2022)
• Las Vegas Attorney Matthew Beasley Accused of Running $300M Ponzi Scheme; Shot by FBI Agents Amid Confrontation During Questioning (3/9/2022)
• Eric Shea Hollifield, Formerly of LPL Financial, Files Lawsuit Alleging LPL Financial’s Responsibility for Misappropriation of Funds (3/8/2022)
• Registered Investment Adviser Cambridge Investment Research Advisors Charged by SEC with Failing to Disclose Conflicts (3/7/2022)
• Former Broker Joseph DeGregorio Charged by SEC with Stealing from Elderly Investors (3/5/2022)
• Dale Edward Wright, Formerly of Cambridge Investment Research, Placed on Probation by Virginia State Corporation Commission (3/4/2022)
• Investment Adviser Bell Rock Capital and its Principal, M. Cassandra Toroian Charged by SEC with Conducting Fraudulent Cherry-Picking Scheme (3/3/2022)
• Nicholas John Kraiko, Formerly of National Securities Corporation, Barred by FINRA Following Refusal to Respond to Requests for Information (3/2/2022)
• Investment Adviser Arthur S. Hoffman Charged by SEC with Failure to Disclose Financial Conflicts of Interest (3/1/2022)
• Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (2/28/2022)
• Peter Joseph Klein, Broker with Hightower Securities, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (2/26/2022)
• Joseph Francis Valdini, Formerly of Aegis Capital, Named in Customer Dispute Alleging Churning (2/24/2022)
• Craig Jay Sherman, Formerly of Wynston Hill Capital, Suspended by FINRA Following Allegations of Failure to Supervise (2/22/2022)
• Robert Jonathan Spencer, Formerly of Cetera Advisor Networks, Barred by FINRA Following Refusal to Produce Documents and Information (2/20/2022)
• Christopher Edward Bond, Broker with National Securities Corporation, Suspended by FINRA Following Allegations of Unauthorized Trading (2/18/2022)
• Safeguard Metals and Owner Jeffrey Santulan Charged by SEC With Engaging in Multi-Million Dollar Fraudulent Scheme (2/17/2022)
• Silence is not golden for GWG bondholders (InvestmentNews.com) (2/17/2022)
• SEC Secures Summary Judgment Against California-based Investment Adviser Mark Boucher and Strategic Wealth Advisor Group Services (2/16/2022)
• Howell Gregory Ferguson, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Forged a Client’s Signature (2/15/2022)
• Paul Richard McGonigle, Formerly of LPL Financial, Indicted on Fraud and Money Laundering Charges (2/15/2022)
• Dennis Phillip Ayre, Formerly of Hilltop Securities, Barred by FINRA Following Refusal to Appear for Testimony (2/14/2022)
• Todd Michael Hayse, Broker with Wells Fargo, Named in Customer Dispute Alleging Unauthorized Trading (2/12/2022)
• Lawmakers Elizabeth Warren and Katie Porter Request More Information After Georgia Court Vacates Arbitration Award (2/10/2022)
• Darryl Cohen, Formerly of Morgan Stanley, Facing Multiple Pending Customer Disputes Alleging Misrepresentation (2/8/2022)
• Ronald Scott Bright, Formerly of Edward Jones, Suspended by FINRA Following Allegations of Unauthorized Transactions (2/7/2022)
• BREAKING: Georgia Court Vacates Arbitration Award; Finds That Wells Fargo and Attorney Terry Weiss Committed Fraud by Manipulating FINRA Arbitrator List (2/2/2022)
• UBS Wealth Management USA Approaches Resolution of Puerto Rico Fund-Related Damages Claims (2/2/2022)
• Mark Lee Elafros, Broker with Charles Schwab, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (2/1/2022)
• Dinu Marian Tise, Formerly of Ameriprise Financial, Suspended By FINRA Following Allegations of Unethical Actions (2/1/2022)
• Joel Paul Kichline, Broker with Stifel Nicolaus & Company, Fined by FINRA Following Allegations of Unauthorized Trading (1/31/2022)
• Scott Michael Bremus, Formerly of LPL Financial, Discharged Following Allegations of Facilitating Private Securities Transactions Without Approval (1/30/2022)
• Michael John Wagner, Broker with Morgan Stanley, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations and Misrepresentation (1/29/2022)
• Joshua David Nicholas, Formerly of Merrill Lynch, Barred by FINRA Following Allegations of Converting Customer Funds (1/29/2022)
• David Norman Adams, Broker with Ameriprise Financial Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (1/28/2022)
• John Frank Donoso, Broker with Newbridge Securities Corporation, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/27/2022)
• SEC Accuses German Nino – Weston Florida Financial Advisor – of $5.8 million Theft (1/27/2022)
• Travis Jerome Hughes, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations (1/26/2022)
• Ping Shuang Cathy Wu, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations (1/25/2022)
• Nathan Paul Macdonald, Broker with Cetera Advisors, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/24/2022)
• Frank Lucien Van Houten, Formerly of LPL Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (1/23/2022)
• Eric Shea Hollifield, Formerly of LPL Financial, Barred by FINRA Following Refusal to Appear for Testimony (1/22/2022)
• William Nicholas Athas, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Trading and Breach of Fiduciary Duty (1/21/2022)
• Steven Michael Richardson, Broker with LPL Financial, Named in Customer Dispute Alleging Excessive Trading (1/20/2022)
• Christina Lindsey Orta, Broker with Cambridge Investment Research, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/20/2022)
• Roderick K Von Lipsey, Broker with UBS Financial, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation (1/20/2022)
• Kirk Edward Pickell, Broker with Janney Montgomery Scott, Facing Pending Customer Dispute Alleging Unsuitable Investments (1/20/2022)
• Jeffrey Daniel Basford, Broker with David Lerner Associates, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation (1/20/2022)
• David John Volpe, Formerly of LPL Financial, Named in Customer Dispute Alleging Conversion of Client Funds (1/20/2022)
• Peter Werner David, Formerly of Woodbury Financial, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/20/2022)
• Sean Donovan Casterline, Broker with Delta Securities, Suspended by FINRA Following Allegations of Participation in Private Securities Transactions (1/20/2022)
• David Robert Kennon, Formerly of First Allied Securities, Facing Pending Customer Disputes Alleging Various Misconduct (1/20/2022)
• Michael Shillin Permanently Barred by SEC Following Allegations He Defrauded Over 100 Clients (1/20/2022)
• What Does a Securities Lawyer Do for Investors Who Have Lost Money Because of Fraud or Negligence? (1/18/2022)
• Brokerage Firm Review: SagePoint Financial (1/13/2022)
• Triad Advisors Fined $705K by FINRA for Failure to Supervise Which Resulted in Sales of Now-Defunct Risky Alternative Investments (1/10/2022)
• Andrew James Pravlik, Broker with Coastal Equities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (1/10/2022)
• How a FINRA Attorney Can Help You Recover Investment Losses (1/10/2022)
• Hiring an SEC Lawyer to Recover Investment Losses (1/9/2022)
• How a Ponzi Scheme Lawyer Can Help Victims Recover Investment Losses (1/8/2022)
• Financial Advisor Scams: The Most Common Ways that Advisors Harm Investors (1/7/2022)
• How to File a Complaint Against Your Financial Advisor or Stockbroker (1/6/2022)
• How a Securities Fraud Attorney Can Help You Recover Losses (1/5/2022)
• How to Sue a Financial Advisor or Stockbroker Over Investment Losses (1/4/2022)
• What You Need to Know If You Believe Your Financial Advisor Is Stealing Your Money (1/3/2022)
• Stockbroker Fraud: Can a Stock Broker Steal Your Money? (1/2/2022)
• John Quinn, Formerly of Valic Financial Advisors, Suspended by FINRA Following Allegations of Participating in Private Securities Transactions Without Approval (12/31/2021)
• Dennis Daniel Herrera, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (12/31/2021)
• Joseph Augustien Lianzo, Broker with SW Financial, Suspended by FINRA Following Allegations of Failure to Supervise (12/31/2021)
• Michele George Savarese, Broker with Client One Securities, Named in Multiple Customer Disputes Alleging Various Forms of Misconduct (12/31/2021)
• Nicholas Fougler Taggart, Broker with IMST Distributors, Named in Customer Dispute Alleging Unsuitable Alternative Investment Recommendations (12/31/2021)
• Brian Michael Jackson, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (12/31/2021)
• Mark Sam Kolta, Formerly of Worden Capital Management, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (12/31/2021)
• SEC Files Emergency Action to Shut Down Texas-Based Ponzi Scheme Operated by Marco “Sully” Perez (12/31/2021)
• Bret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations (12/28/2021)
• Paul Michael Fiacable, Formerly of JP Morgan, Facing Pending Customer Dispute Alleging Breach of Fiduciary Duty and Misappropriation of Funds (12/28/2021)
• Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (12/28/2021)
• Daniel Lawrence Pimental, Formerly of Wells Fargo, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (12/28/2021)
• Devin Wicker, Formerly of JVB Financial Group, Barred by FINRA Following Allegations of Converting Customer Funds (12/28/2021)
• SEC Charges Fusion Hotel Management, LLC and Founder Denny T. Bhakta with Operating Ponzi Scheme (12/28/2021)
• Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Failure to Disclose Outstanding Federal Liens (12/21/2021)
• James Lee Greene, Broker with B. Riley Wealth Management, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (12/20/2021)
• Antonio Almeida, Formerly of Worden Capital Management, Suspended by FINRA Following Failure to Disclose a Felony Charge (12/20/2021)
• Shay W. Scruggs, Broker for Rockefeller Financial, Facing Pending Customer Dispute Alleging Unsuitable Investments (12/20/2021)
• Kenneth Anthony Luccioni, Formerly of Triad Advisors, Facing Three Pending Customer Disputes Alleging Unsuitable Investments (12/20/2021)
• Voya Employees 401k Class Action Lawsuit Investigation (12/16/2021)
• Wells Fargo Hit with $3M Fine Over Unit Investment Trusts (12/16/2021)
• SEC Charges Former Illinois Investment Professional Ronald T. Molo with Fraud (12/13/2021)
• Sonn Law Helps Secure $4M Award for Client of JP Morgan Broker Edward L. Turley (12/13/2021)
• James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes (12/12/2021)
• Daniel Lee Holman, Formerly of Cambridge Investment Research, Named in Customer Dispute Alleging Misrepresentation of Unsuitable Products (12/10/2021)
• Frederick Mark Atiyeh, Broker with Crown Capital Securities, Facing Customer Disputes Alleging Overconcentration and Unsuitable Recommendations (12/10/2021)
• James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes (12/10/2021)
• Roland Terrence Molo, Formerly of Edward Jones, Suspended by FINRA Following Failure to Respond to Requests for Information (12/10/2021)
• SEC Alleges That The Heartland Group Ventures, LLC is a $122M Ponzi-like Scheme (12/9/2021)
• Jesus Rodriguez, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Provide Information (12/4/2021)
• Joseph Michael Giordano, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise (12/3/2021)
• Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise (12/2/2021)
• Michael Paul Francoeur, Formerly of Cambridge Investment Research, Barred by FINRA Following Refusal to Provide Information (12/1/2021)
• William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions (11/30/2021)
• Business Development Corporation of America (BDCA) Investment Losses (11/30/2021)
• Clara Tang, Formerly of Cetera Investment Services, Accused of Recommending Unsuitable Investments (11/29/2021)
• SEC Charges Lina Maria Garcia of Miami-based UCB Financial Advisers with Running Cherry Picking Scheme (11/20/2021)
• SEC Charges Joshua Burrell (Activated Capital, LLC) with $6.3M Securities Fraud (11/18/2021)
• David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades (11/18/2021)
• Arcadian New Venture LP Investment Losses (11/18/2021)
• Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA (11/18/2021)
• Adam Jeffrey Nash, Formerly of Pruco Securities, Accused of Failing to Provide Records (11/18/2021)
• Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading (11/18/2021)
• Abdul Matin Rahmani, Formerly of Joseph Stone Capital, Barred by FINRA Following Allegations of Undisclosed Outside Business Activities (11/18/2021)
• SEC Charges New Jersey Claims Aggregator and Its Principals with Fraud (11/18/2021)
• Michigan Financial Advisor Steven Muntin Charged by SEC with Fraud (11/18/2021)
• SEC Charges John J. Woods (Horizon Private Equity, III, LLC) of Running Decade-Long, $110M Ponzi Scheme (11/17/2021)
• Northstar Financial Services (Bermuda), Ltd: Investment Loss Recovery (11/11/2021)
• Marc Korsch, Formerly of Arkadios Capital, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations (11/10/2021)
• William Edward Torriente Jr., Formerly of Comerica Securities, Named in Customer Dispute Seeking $500k (11/10/2021)
• Carl Damien Gill, Formerly of United Planners’ Financial Services of America, Facing Multiple Pending Customer Disputes (11/10/2021)
• Paul Warren Vizanko, Formerly of Wells Fargo, Barred by FINRA Following Refusal to Respond to Information Request (11/10/2021)
• SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients (11/10/2021)
• Jeffrey Alan Kiensnoski, Broker with Concorde Investment Services, Named in Customer Dispute Seeking $1M in Damages (11/10/2021)
• Epitome Investment Fund Investment Losses (11/8/2021)
• SEC Accuses AlphaPlus Portfolio Recovery Corp. Principals of Stealing $40M from Settlement Funds for Harmed Investors (11/8/2021)
• James Seijas, Formerly of Wells Fargo, Accused of Defrauding Investors in Alleged Ponzi Scheme (11/8/2021)
• SEC Accuses BNZ One Capital Principals of Operating $13.5 Million Ponzi-Like Scheme (11/1/2021)
• SEC Obtains Final Judgment Against Investment Professional Marcus Boggs (10/29/2021)
• Sarah Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages (10/29/2021)
• SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients (10/29/2021)
• SEC Charges Ann Vick, Colorado Investment Adviser, with Fraud (10/29/2021)
• NJ Financial Advisor Kenneth Welsh Accused of Fleecing Clients of $2.86M (10/29/2021)
• Kevin Anthony Butler, Broker with Morgan Stanley, Named in Customer Dispute Seeking $1.5M in Damages (10/27/2021)
• Jon Peter Lindberg, Formerly of ProEquities, Inc., Named in Two Pending Regulatory Disputes (10/27/2021)
• Marcus Angelo Beasley, Formerly of Supreme Alliance, Barred by FINRA Following Allegations of Offering Unregistered Securities (10/27/2021)
• Xiao Qin Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages (10/27/2021)
• Marc Augustus Reda, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Churning in Customer Accounts (10/27/2021)
• Hillstone Capital LLC Investment Losses (10/27/2021)
• Kevin Carey Doyle, Formerly of Raymond James & Associates, Censured by Oklahoma Department of Securities (10/22/2021)
• Roy Joseph Failla, Broker with Arive Capital Markets, Named in Customer Dispute Alleging Unsuitable Recommendations (10/22/2021)
• Scott Robert Rahn, Formerly of LPL Financial, Target of Investigation Concerning Unsuitable Trades (10/22/2021)
• Edgar Kleydman, Formerly of MML Investors Services, Barred by FINRA Following Refusal to Appear for Testimony (10/22/2021)
• Jamie John Worden, Formerly of Worden Capital Management, Barred by FINRA Following Refusal to Produce Information (10/22/2021)
• James Wightman Wilcox, Broker with First Republic Securities, Named in Customer Disputes Alleging Unsuitable Investment Allegations (10/18/2021)
• Nicholas R. Palumbo, Formerly of Park Avenue Securities, Barred by FINRA Following Refusal to Produce Information (10/18/2021)
• Louis Martin Wargo, Broker with FSC Securities, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
• Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
• William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (10/18/2021)
• SEC Accuses Sky Group USA and CEO Efrain Betancourt, Jr. of Operating $66M Promissory Note Scam (10/12/2021)
• Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement (10/12/2021)
• Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients (10/12/2021)
• Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony (10/12/2021)
• Department of Justice Charges Chicago Trader Keith Wakefield with Securities Fraud (10/7/2021)
• Alan Harold New, Formerly of NYLife Securities, Barred by FINRA Following Refusal to Provide Documents and Information (10/7/2021)
• Barry Steven Snyder, Formerly of Snowden Account Services, Named in Customer Dispute Seeking $500k in Damages (10/7/2021)
• SEC Charges TCFG Investment Advisors, Affiliated Broker-Dealer and Its President Alleging Materially False and Misleading Statements (10/7/2021)
• SEC Accuses Ron K. Harrison of Global Trading Institute, LLC of Ongoing Investment Advisory Fraud (10/6/2021)
• Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act (10/5/2021)
• Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients (10/5/2021)
• Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages (10/5/2021)
• Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (10/3/2021)
• SEC Charges Back to Green Mining, LLC, and Managing Members with Fraud (9/30/2021)
• Missouri-Based Investment Adviser Buttonwood Financial Group Accused of Investing Clients in Higher Cost Mutual Funds to Avoid Transaction Fees (9/30/2021)
• Conservation Easement Investment Losses (9/30/2021)
• Biscayne Capital Owners Indicted, Accused of Operating $155 Million Investment Fraud (9/27/2021)
• Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months (9/20/2021)
• Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages (9/20/2021)
• Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (9/20/2021)
• Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information (9/20/2021)
• Christopher George Orlando, Formerly of Spartan Capital Securities, Barred by FINRA Following Allegations of Excessive Trading (9/20/2021)
• Alfonse Joseph Stazzone, Formerly of Monmouth Capital Management, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (9/20/2021)
• Investors in Million Dollar Ponzi Scheme Collaborate for Maximum Recovery (9/20/2021)
• Joseph Whitney, Formerly of UBS Financial Services, Denied Registration by New Jersey Bureau of Securities (9/20/2021)
• Robert Henderson Jr., Broker with San Blas Securities, Suspended by FINRA for 13 Months (9/20/2021)
• Thomas Ward Stratton, Formerly of World Choice Securities, Barred by FINRA Following Investigation into Misuse of Customer Funds (9/20/2021)
• Class Action: Charles Schwab Intelligent Portfolio (9/17/2021)
• WSJ: Ex-Broker Ordered to Pay Former NBA Player $2M (9/13/2021)
• ElectroCore, Inc. Investment Losses (9/9/2021)
• SEC Charges Mississippi Company and Its Principal with Operating a Ponzi Scheme (9/9/2021)
• SEC Charges Minnesota Couple with Operating $18 Million Ponzi Scheme (9/9/2021)
• Sonn Law Group Says Accused Ponzi Schemer Larry Ramos Mendoza Has Escaped House Arrest Pending Charges in Ponzi Scheme Case (9/3/2021)
• Former Morgan Stanley Broker Sues Firm Over Deferred Compensation Denial (8/26/2021)
• SEC Charges Robert J. Mueller of deeproot funds LLC with Operating $58M Ponzi Scheme (8/24/2021)
• SEC Obtains Court Order Against New York Investment Adviser Martin Ruiz (8/19/2021)
• Martin Ruiz, New York Investment Adviser, Charged with Defrauding Clients and Misappropriating Client Funds (8/19/2021)
• Gerald Allen Eaton, Boston Investment Advisor, Pleads Guilty to Stealing Over $3.7 Million in Client Funds (8/19/2021)
• Las Vegas-Based Profit Connection Wealth Services, Inc., Charged by SEC with Fraud (8/16/2021)
• Ronnie Metcalf, Broker with Cetera Advisors, Accused of Failure to Supervise (8/16/2021)
• Lyle Wesley Davis, Broker with Wilson-Davis & Co., Agrees to FINRA Settlement Alleging Failure to Supervise (8/16/2021)
• Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations (8/16/2021)
• James Rudnick, Florida Real Estate Developer, Charged by SEC with Fraud (8/16/2021)
• Activision Blizzard, Inc., Facing Allegations of Permitting a Workplace Culture of Sexual Harassment (8/16/2021)
• Sigma Financial Corporation: Information for Investors (8/15/2021)
• MJ Capital Ponzi Scheme (8/15/2021)
• Monarch Capital Investment Fund, LLC Ordered to Cease and Desist by Missouri Securities Division (8/12/2021)
• Mine Shaft Brewing and its Principals Charged by SEC with Fraud (8/12/2021)
• George Heckler, Unregistered Investment Adviser, Charged by SEC with Misleading Investors (8/12/2021)
• Daniel James O’Neill, Formerly of NYLife Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (8/12/2021)
• SEC Charges Florida-Based Company, The Republic Group, with Defrauding Investors (8/12/2021)
• Geoffrey Thompson Charged by SEC with Selling Unregistered Securities (8/12/2021)
• Narith Long, Formerly of NYLife Securities, Named in Customer Dispute Alleging Unauthorized Securities Transactions and Unsuitable Recommendations (8/12/2021)
• Boeing Employees’ Credit Union Wrongful Overdraft Fees (8/12/2021)
• TD Bank Wrongful Overdraft Fees (8/12/2021)
• Sonn Law Group Investigating Stallion Real Estate Funds (8/5/2021)
• Medley Management Investment Losses (7/28/2021)
• Joseph Michael Fedorko, Jr., Broker with Laidlaw & Co. (UK), Named in Customer Dispute Alleging Churning and Unauthorized Trading (7/28/2021)
• Samuel Mancini, Colorado Fund Manager and CEO, Charged with Securities Fraud, Wire Fraud, and Money Laundering (7/28/2021)
• Oatly Group AB Investment Losses (7/28/2021)
• Kenric Lamont Sexton, Formerly of Wells Fargo, Suspended by FINRA Due to Allegations of Misrepresentations on a Loan Application (7/28/2021)
• Henry Chia-How Chang, Broker with Laidlaw & Company (UK), Named in Customer Dispute Alleging Selling Away (7/23/2021)
• Patrick William Naughton, Broker with LPL, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
• Mark Allen Upchurch, Formerly of Centaurus Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
• Michael Frank Paesano, Formerly of Morgan Stanley, Named in Three Pending Customer Disputes Alleging Excessive Trading (7/23/2021)
• NEXT Financial Consents to $750K FINRA Penalty for Sales Violations (7/23/2021)
• Commonwealth Financial Network Complaints: Information for Investors (7/20/2021)
• Securities America Advisors Ordered to Pay $1.75 Civil Penalty for Failing to Protect Clients from Ponzi Scheme (7/19/2021)
• Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations (7/19/2021)
• David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (7/19/2021)
• Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages (7/19/2021)
• Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds (7/19/2021)
• Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year (7/19/2021)
• John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information (7/19/2021)
• Wells Fargo Advisors Complaints: Information for Investors (7/16/2021)
• AXA Advisors Complaints: Information for Investors (7/16/2021)
• TD Ameritrade Complaints: Information for Investors (7/15/2021)
• Woodbridge Ponzi Scheme Class Action Update: Plaintiffs File Motion for Class Certification (7/15/2021)
• Park Avenue Securities Complaints: Information for Investors (7/14/2021)
• Sonn Law Says that the Banks Who Advised the Puerto Rico Government to Issue Bonds should pay the Nearly $1 Billion in Legal Fees Charged By Attorneys and Professionals to Restructure Puerto Rico’s Debt (7/14/2021)
• Philip Donald Beviano, Broker with Signature Securities, Named in Multiple Pending Customer Disputes Alleging Misrepresentations (7/7/2021)
• Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct (7/7/2021)
• Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty (7/7/2021)
• Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (7/7/2021)
• Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes (7/7/2021)
• Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations (7/7/2021)
• Benefit Street Partners REIT Investment Losses (7/7/2021)
• Prestige Equity Ordered to Cease and Desist Operations; Accused of Being a Fraudulent Investment Scheme (7/7/2021)
• Did You Suffer Losses Investing with Gregory Paris of Barrington Asset Management, Inc.? (7/6/2021)
• Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information (7/6/2021)
• Investigation: Banks Charging Excessive ATM Fees without Adeqaute Disclosure (7/2/2021)
• Investigation: MR (Mark Ray) Cattle, Accused Ponzi Scheme (7/2/2021)