Sonn Law Blog » Sonn Law Group

Browse posts from the Sonn Law Group blog below.

Dispute Between TV Host Wendy Williams and Wells Fargo Advisors Intensifies Following Allegations of Refusal to Grant Access to Accounts (9/20/2022)
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)
Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct (7/28/2022)
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)
New Jersey Bureau of Securities Issues Summary Cease and Desist; Calls NRIA a $600M Fraud (NJBiz.com) (6/23/2022)
New Jersey-Based National Realty Investment Advisors (NRIA) Files Chapter 11 Bankruptcy Amid FBI Probe (6/23/2022)
How (and When) Can a Securities Fraud Attorney Help Me Recover Investment Losses? (6/14/2022)
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)
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 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)
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)