Sonn Law Blog » Sonn Law Group

Browse posts from the Sonn Law Group blog below.

Altin Tirana, Broker with LPL Financial, Suspended by FINRA Following Allegations of Falsifying a Representative Code (2/2/2023)
Pawan Kumar Passi, Formerly of Morgan Stanley, Facing Customer Dispute Alleging Misrepresentation (2/1/2023)
Michael Glenn Chandler, Broker with LPL Financial, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Overconcentration (1/31/2023)
Jeffrey Daniel Peyser, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/30/2023)
Antoine Nabih Souma, Formerly of Insigneo Securities, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (1/29/2023)
Michael Vincent Restagno, Broker with Aegis Capital, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/28/2023)
Robert Leo Luley Jr., Formerly of Pruco Securities, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/27/2023)
Palmery Robert Desir, Formerly of Richfield Orion International, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trades (1/26/2023)
Steven Kiyoto Hirata, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Documents and Information (1/25/2023)
FINRA Fines Los Angeles-Based Wedbush Securities for Inadequate Oversight Systems (1/24/2023)
John Nicholas Matson, Formerly of LPL Financial, Barred by FINRA Following Refusal to Provide Documents and Information (1/23/2023)
Cardone Capital Investors May Have Claims for Damages (1/15/2023)
Caz Craffy, Formerly of Monmouth Capital Management, Barred by FINRA Following Refusal to Appear for Testimony Related to Investigation (1/12/2023)
Robert Wyla Melberth, Broker with Emerson Equity, Named in Customer Disputes Alleging Various Forms of Misconduct (1/11/2023)
Edward Joseph Rudiger Jr., Broker with Reid & Rudiger LLC, Named in Customer Dispute Alleging Unsuitable Recommendations and Unauthorized Transactions (1/10/2023)
Ariel Rivero, Broker with Insigneo Securities, Named in Customer Dispute Alleging Various Forms of Misconduct (1/9/2023)
Adam Feierstein, Formerly of ProEquities, Inc., Named in Customer Disputes Following Recommendations of Unsuitable Investments (1/8/2023)
Nicholas Michael Giallourakis, Broker with Newbridge Securities Corporation, Named in Customer Dispute Alleging Various Forms of Misconduct (1/7/2023)
William Randall Moening, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation (1/6/2023)
David Richard Geake, Broker with American Trust Investment Services, Facing Six Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds (1/5/2023)
Michael Jon Binstock, Broker with CreativeOne Securities, Named in Customer Disputes Alleging Broker Misconduct (1/4/2023)
Kimberly Elizabeth Nuessmann, Formerly of Securities America, Suspended by FINRA Following Allegations of Impersonating a Deceased Client (1/3/2023)
John Nicholas Terzis, Formerly of LPL Financial, Barred by FINRA Following Allegations of Borrowing Money From an Elderly Customer (1/2/2023)
What are the Most Common Forms of Stockbroker Fraud? (12/30/2022)
Who are the Best Investment Fraud Lawyers in the United States? (12/29/2022)
How (and When) Can an Attorney Help Me Recover Investment Losses? (12/28/2022)
How a Ponzi Scheme Lawyer Can Help Victims Recover Investment Losses (12/28/2022)
Andrew Fredric Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (12/22/2022)
Keith Michael Dagostino, Broker with Aegis Capital, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (12/21/2022)
John Dennis Lowry, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Failure to Disclose Arbitration Filings and Resolutions (12/20/2022)
UCB Financial Advisors Fined $5.7M by SEC Over Cherry-Picking Charges (12/19/2022)
Howard Hao-Chung Hsieh, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Recommendations and Breach of Fiduciary Duty (12/18/2022)
Michael Murray Knittel, Formerly of Fortune Financial Services, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction Without Firm Approval (12/17/2022)
Adam Tucker Boyce, Broker with Citizens Securities, Named in Customer Disputes Alleging Misrepresentation (12/16/2022)
Timothy Jude Pagliara, Formerly of CapWealth Investment Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Unsuitable Recommendations (12/15/2022)
Martin Bradley Winges, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Misrepresentations and Unsuitable Recommendations (12/14/2022)
What Investors Need to Know About “Selling Away” (12/9/2022)
Michael Richard Rosalia, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Recommendations, Churning, and Other Misconduct (12/8/2022)
14 of the Most Shocking Financial Fraud Cases of the Last Century (12/8/2022)
Jonathan Eric Ellefson, Broker with Intervest International Equities Corporation, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct (12/7/2022)
Clinton Edward Curtright, Broker with Morgan Stanley, Named in $6M Customer Dispute Alleging Misrepresentation and Violation of Regulation Best Interest (12/7/2022)
Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification (12/6/2022)
Dennis Stephen Oleszkowicz, Broker with UBS Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct (12/6/2022)
Scott Erik Aabel, Broker with Spire Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds (12/5/2022)
Morgan Stanley Hit with $11.5M Arbitration Settlement Over Options Strategy Gone Sideways (12/5/2022)
Dana Bruce Vietor, Formerly of CFD Investments, Named in Customer Disputes Alleging Breach of Fiduciary Duty, Unsuitability, and Other Misconduct (12/4/2022)
Matthew Stern Buchsbaum, Broker with UBS Financial Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (12/3/2022)
Adam Jesse Gurien, Broker with Merrill Lynch, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (12/2/2022)
Lawrence Merl, Formerly of David Lerner Associates, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (12/1/2022)
Todd Michael Venturino, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (11/30/2022)
Todd Michael Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (11/29/2022)
Dusty Lynn Sternadel, Formerly of Ameriprise Financial Services, Barred by FINRA Following Failure to Respond to Appear for Testimony (11/28/2022)
Ex-JPMorgan Broker Edward Turley Barred by from Financial Services Industry (11/23/2022)
Michael William Mandarino, Broker with G.A. Repple & Company, Named in Customer Dispute Alleging Unsuitable Recommendations of GWG Holdings Bonds (11/17/2022)
Pamela Denise Lawson, Formerly of Lawson Financial Corporation, Suspended by FINRA Following Failure to Comply with Arbitration Award (11/16/2022)
Amanda Yvonne Berry, Formerly of MML Investors, Barred by FINRA Following Failure to Respond to Request for Information (11/15/2022)
David Del Rio, Formerly of LPL Financial, Barred by FINRA Following Failure to Respond to Request for Information (11/14/2022)
Robert Charles Mehlin, Formerly of Coastal Equities, Suspended by FINRA Following Allegations of Unauthorized Trading (11/13/2022)
David Lyle Bahnsen, Formerly of Hightower Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (11/12/2022)
Sonn Law Group Investigating BlockFi for Freezing Withdrawals (11/11/2022)
William Patrick Gamble, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unauthorized Trades (11/11/2022)
Sonn Law Group PA Investigating Claims for FTX Customers (11/10/2022)
Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (11/9/2022)
John Anthony Sommo, Formerly of UBS Financial Services, Barred by FINRA Following Refusal to Respond to FINRA Requests for Information (11/9/2022)
Charles Vincent Malico, Formerly of Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive Trading (11/8/2022)
Michaelangelo Dooley, Broker with NewEdge Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (11/7/2022)
Morgan Darby Hill, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (11/6/2022)
Sean Sullivan, Broker with Sovereign Global Advisors, Named in Customer Dispute Alleging Unauthorized Trading (11/5/2022)
Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Allegations of Excessive Trading (11/4/2022)
Dennis David Karjala, Formerly of LPL Financial, Suspended by FINRA Following Allegations of Providing a Guarantee Against Losses (11/3/2022)
How to File a Complaint Against Your Financial Advisor or Stockbroker (11/1/2022)
How to Sue a Financial Advisor or Stockbroker Over Investment Losses (11/1/2022)
Robert Morgan Vance, Broker with Moloney Securities Co., Named in Customer Disputes Alleging Unsuitable Recommendations and Negligence (10/30/2022)
Cheryl Lynn Young, Broker with Rockefeller Financial, Named in Customer Dispute Alleging Unsuitable Recommendations (10/29/2022)
Christopher Thomas Fusco, Formerly of Joseph Stone Capital, Named in Customer Dispute Alleging Unsuitable Recommendations and Excessive Trading (10/28/2022)
David Khezri, Formerly of Network 1 Financial Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations (10/27/2022)
Peter Kyung Hoon Rhee, Broker with Cetera Advisors, Facing Customer Disputes Alleging Unsuitable Investment Recommendations and Negligence (10/26/2022)
Anthony Joseph Manougian, Broker with Oppenheimer & Co., Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Other Forms of Misconduct (10/25/2022)
Peter James Fetherson, Formerly of Aegis Capital, Charged by FINRA with Converting Customer Funds (10/24/2022)
Richard Foerster Reynolds, Formerly of SW Financial, Facing Customer Dispute Alleging Churning, Unauthorized Trading, and Fraud (10/23/2022)
Matthew Gates, Broker with VCS Venture Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Excessive Trading (10/22/2022)
SEC Charges the Estate of Stephen Romney Swensen and Crew Capital Group, LLC, with Operating Fraudulent Investment Offering (10/21/2022)
Anthony John Pitta, Broker with Capital Investment Group, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (10/16/2022)
Kenneth James New, Broker with Center Street Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (10/15/2022)
Joseph Albert Ambrosole, Formerly of Joseph Stone Capital, Barred by FINRA After Allegations of Unsuitable Trading (10/14/2022)
Gregory William Melendez, Broker with Laidlaw & Company, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (10/13/2022)
Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct (10/12/2022)
Brian Charles Kennedy, Broker with Cambridge Investment Research, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (10/11/2022)
Jon Paul Cirelli, Broker with Coastal Equities, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violations of Securities Laws (10/10/2022)
Jon Raymond Lee, Broker with AAG Capital, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings (10/9/2022)
Paul Wesley Witthauer, Broker with G.A. Repple & Company, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings (10/8/2022)
Did You Face a Massive Tax Bill Due to Vanguard Target Date Retirement Fund Sell-Off? Recover Your Losses. (10/7/2022)
Bradley Allen Goodbred, Formerly of LPL Financial, Charged by SEC with Stealing from an Elderly Investor (10/6/2022)
SEC Charges James Arthur McDonald, Jr. and His SEC-Registered Investment Adviser Firm, Hercules Investments, LLC with Offering Fraudulent Securities (10/5/2022)
David Sheldon Wells, Formerly of Fifth Third Securities, Charged by SEC with Misappropriating Clients’ Funds (10/4/2022)
SEC Charges California-based Real Estate Investment Firm, Secured Income Group, With $100M Offering Fraud (10/3/2022)
Patrick Cody, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unsuitable Investments, Among Other Misconduct (10/2/2022)
James Parascandola, Broker with Pruco Securities, Named in Customer Dispute Alleging Excessive Trading (9/30/2022)
Charles Frederik Lek, Broker with Lek Securities Corporation, Named in FINRA Complaint Alleging Failure to Supervise (9/29/2022)
Jimmy Yang Driggers, Formerly of Morgan Stanley, Named in Pending Customer Dispute Seeking $4M in Damages (9/28/2022)
Daniel Todd Lerner, Broker with David Lerner Associates, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments (9/26/2022)
Matthew Bahrenburg, Broker with CFD Investments, Named in Customer Dispute Alleging the Sale of Private Investments. (9/25/2022)
James Travis Flynn, Formerly of Voya Financial Advisors, Barred by FINRA Following Failure to Comply with Arbitration Award (9/24/2022)
Jeffrey Daniel Basford, Formerly of David Lerner Associates, Barred by FINRA Following Refusal to Appear for Testimony (9/23/2022)
John Hillman Timberlake, Formerly of Carter, Terry & Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments and Unauthorized Trades (9/22/2022)
Mark Alan Cline, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Alleging Sale of Unsuitable Investments in GWG Holdings (9/21/2022)
Dispute Between TV Host Wendy Williams and Wells Fargo Advisors Intensifies Following Allegations of Refusal to Grant Access to Accounts (9/20/2022)
Daniel Minich, Formerly of Ameriprise Financial Services, Suspended by FINRA Following Participation in Private Securities Transactions (9/19/2022)
Marc Frankel Charged by SEC with Stealing from Clients (9/17/2022)
Ramas Capital Management, LLC and Owner Ganesh Betanabhatla Charged by SEC with Fraud (9/16/2022)
Gregory Lindberg and Christopher Herwig Charged by SEC with Defrauding Clients Out of More Than $75 Million (9/15/2022)
Pavel Ruiz Charged by SEC with Engaging in a Fraudulent Securities Offering and Ponzi Scheme (9/14/2022)
Did Your Financial Advisor Act in Your Best Interests? (9/13/2022)
Sonn Law Group Announce $1.7 Million Lawsuit Over GWG L Bond Sales (9/5/2022)
Losses in GWG Holdings L Bonds? Investors Have Claims for Damages (9/5/2022)
Ashley Marie Bolson, Formerly of CFD Investments, Named in Customer Dispute Alleging Fraud, Negligent Misrepresentation, and Violations of the Iowa Securities Act (9/3/2022)
Herman Laibe Kahn, Formerly of Kestra Investment Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitable Investment Recommendations (9/2/2022)
David Scott Mirolli, Broker with Kalos Capital, Named in Multiple Customer Disputes Alleging Recommendation of Unsuitable Investments (9/1/2022)
Joseph Patrick Roop, Formerly of Dempsey Lord Smith, Named in Customer Dispute Alleging Improper Recommendations and Suitability Issues (8/31/2022)
Stephen Yauman Kwan, Broker with Madison Avenue Securities, Facing Customer Disputes Alleging Unsuitable Recommendation of GPB Capital Investments (8/30/2022)
Jeffrey Adam Miller, Broker with UBS Financial Services, Facing Customer Dispute Alleging Unsuitable Concentration in Gold and Silver (8/29/2022)
John Sebastion Cangialosi, Formerly of SW Financial, Named in Customer Dispute Alleging Churning and Unauthorized Trading, Among Other Misconduct (8/28/2022)
Thomas Wilson Murray, Broker with Wells Fargo, Facing Customer Dispute Alleging He Solicited an Outside Investment Opportunity Unauthorized by His Firm (8/27/2022)
Edward Turley, JP Morgan Face $56M Claim Alleging Misrepresentation and Unsuitable Trading (8/26/2022)
Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (8/26/2022)
Michael James Petyak, Broker with Calton & Associates, Facing Customer Dispute Alleging Lack of Diversification (8/25/2022)
Joseph Lee Moses, Broker with Sentinus-Halo Securities, Facing Customer Dispute Alleging Misconduct (8/24/2022)
Richard Noel Fredette, Formerly of Cantella & Company, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (8/23/2022)
Anthony Mastroianni Charged by SEC with Scamming Investors Out of Over $1M (8/22/2022)
Seth Barnes Stewart, Formerly of Center Street Securities, Named in Customer Disputes Unsuitable Investment Recommendations (8/20/2022)
Scott Jay Matalon, Formerly of RBC Capital Markets, Named in Customer Dispute Alleging Negligence (8/19/2022)
Thomas Paul Tibaldi, Broker with Citigroup Global Markets, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (8/18/2022)
Joseph Ijong Chu, Broker with RBC Capital Markets, Facing Customer Disputes Alleging Unsuitable Concentration of Certain Investments (8/17/2022)
Alpine Securities, Former CEO and Current CEO Charged by SEC with Engaging in Unauthorized Securities Transactions (8/16/2022)
Manish Saini, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction (8/15/2022)
William Word Huthnance, Broker with UBS Financial Services, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/14/2022)
Lawrence William Catena, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/13/2022)
Customers Contacted by Twilio About Data Breach Have Legal Claims (8/12/2022)
Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations (8/11/2022)
Anthony Thomas Megaro, Broker with Park Avenue Securities, Facing Customer Dispute Alleging Forgery of Client Signatures (8/10/2022)
Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud (8/9/2022)
Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony (8/8/2022)
Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products (8/7/2022)
James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (8/6/2022)
Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/5/2022)
Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence (8/4/2022)
Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment (8/3/2022)
Jiaqi Chen, Broker with Cetera Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (8/2/2022)
Jennifer Marcontell, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Failure to Follow Instructions (8/1/2022)
Jason Paul Collichio, Broker with Landolt Securities, Facing Customer Disputes Alleging Unsuitable Investment Recommendations (7/29/2022)
Christopher Michael Setaro, Broker with NPM Securities, Facing Customer Dispute Alleging Failure to Supervise (7/29/2022)
Francis Joseph Velten, Formerly of Ameriprise Financial Services, Named in FINRA Complaint Alleging Failure to Respond (7/26/2022)
Adam Thomas Marquardt, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Testimony (7/25/2022)
Chad Ryan Barancyk, Formerly of First Allied Securities, Suspended by FINRA Following Failure to Respond to Requests for Information (7/23/2022)
Vincent Anthony Virga, Formerly of Madison Avenue Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable Alternative Investments (7/22/2022)
Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation (7/21/2022)
Mark Smith, Formerly of Transamerica Financial Advisors, Barred by FINRA Following Refusal to Appear for Testimony (7/20/2022)
Sonn Law Investigating Financial Advisors Christian Deberadinis and Gianluca Deberardinis (7/20/2022)
Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/19/2022)
Dylan Casey Hales, Broker with Edward Jones, Named in Customer Dispute Alleging False and Misleading Information (7/18/2022)
David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds (7/17/2022)
Michael Alejandro Castillero, Formerly of Windsor Street Capital, Charged by SEC with Operating Ponzi-like Scheme (7/16/2022)
Jeffrey Brian Forehand, Broker with First Allied Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable, High-Risk Investments (7/15/2022)
Todd Dwain Gauthier, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/14/2022)
Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/13/2022)
Camp Lejeune Water Contamination – Class Action Lawsuit (7/13/2022)
Kenneth David Blumberg, Broker with Stifel Nicolaus & Company, Named in Customer Dispute Alleging Recommendations of Unsuitable Investments (7/12/2022)
Thomas James Baumann, Formerly of Spartan Capital Securities, Under Investigation by FINRA Following Allegations of Churning (7/11/2022)
SEC Charges Western International Securities and Several Registered Representatives with Violating Regulation Best Interest Standards (7/10/2022)
Craig Lee Carson, Broker with Intervest International Equities Corporation, Ordered by SEC to Cease and Desist Following Allegations of Breaching Fiduciary Duty (7/10/2022)
Ann Louise Werts, Broker with Madison Avenue Securities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (7/9/2022)
SEC Names Terry Nikopoulos and Other Defendants in Action Alleging Operation of $3 Million Ponzi Scheme (7/8/2022)
SEC Names Multiple Defendants in Action Alleging $450 Million Ponzi Scheme (7/7/2022)
Eric Shea Hollifield, Formerly of LPL Financial, Charged by SEC with Misappropriating Over $1.7M (7/6/2022)
Penny Gail Flippen, Formerly of H.D. Vest Investment Services, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme (7/6/2022)
Britt Franklin Wright, Formerly of Edward Jones, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme (7/6/2022)
Finra Member Caught Lying During Arbitration and Sanctioned $100,000; FINRA Must Immediately Take Action (7/6/2022)
Former Client of Shawn E. Good Files a Lawsuit Against Morgan Stanley for Lack of Supervision (6/10/2022)
Xiangyu Yu Zhang, Formerly of Wells Fargo, Facing Pending Customer Disputes Alleging Unsuitable Recommendations (6/7/2022)
Eric Edward Nicolassy, Broker with Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (6/6/2022)
David Randall Lehnertz, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/5/2022)
SEC Announces Fraud Charges Against Former Investment Adviser and Public Company CEO Martin A. Sumichrast (6/4/2022)
SEC Announces Fraud Charges Against Cornerstone Acquisition & Management Company and Its Principals (6/3/2022)
SEC Announces Fraud Charges Against Detroit-Based EIA All Weather Alpha Fund I Partners LLC (6/2/2022)
Marc Frederick Korsch, Formerly of Centaurus Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations of GWG L Bonds (6/1/2022)
Tobin Carl Hoffmann, Broker with Ameritas Investment Company, Facing Customer Dispute Alleging Misrepresentation Regarding an Investment (5/30/2022)
Randall John Mason, Broker with Cetera Advisors, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment (5/29/2022)
Glen Mackenzie Dowden, Broker with Citizens Securities, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment (5/28/2022)
Steve Jeffrey Cummings, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (5/27/2022)
Arthur Grossbard, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/26/2022)
SEC Obtains Asset Freeze Against StraightPath Venture Partners and StraightPath Management (5/25/2022)
GWG Holdings, Inc. Shares Delisted from Nasdaq Stock Market (5/24/2022)
Michael Joseph Whitaker, Broker with Newbridge Securities Corporations, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/23/2022)
Wells Fargo Ordered to Pay Former Credit Suisse Broker Nearly $1M Following Deferred Compensation Suit (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)
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)
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)