Sonn Law Blog » Sonn Law Group

Browse posts from the Sonn Law Group blog below.

Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading (5/3/2021)

Jonathan P. Maroney, Owner of Harbor City Capital Corp., Charged by SEC With Misappropriating Investor Funds and Operating Ponzi Scheme (4/28/2021)

Larry Ramos Mendoza, Resident of Miami, Indicted For $21 Million Investment Fraud (4/27/2021)

Joia Evans, Formerly of TIAA-CREF, Barred by FINRA Following Refusal to Provide Information (4/26/2021)

Washington Prime Group, Inc. Investment Losses (4/26/2021)

David John Melilli, Formerly of Sagepoint Financial, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments (4/26/2021)

Michael Robert Greenfield, Broker with Newbridge Securities, Named in Multiple Customer Disputes Alleging Negligence (4/26/2021)

Brian Maguire, Formerly of Goldman Sachs, Barred by FINRA Following Allegations of Insider Trading (4/26/2021)

Gilbert Cox, Formerly of NYLife Securities, Barred by FINRA After Refusing to Requested Information (4/26/2021)

Sonn Law Group to Represent Investor in Larry Ramos Ponzi Scheme (4/26/2021)

Infinity Q Capital Management, LLC Investment Losses (4/26/2021)

Steven Melen, Formerly of Morgan Stanley, Suspended by FINRA Following Failure to Disclose Rental Property (4/26/2021)

GPB Capital Holdings Investment Losses with Geneos Wealth Management (4/19/2021)

Les Leroy Barber Jr., Broker with Royal Alliance Associates, Accused of Recommending Unsuitable Private Placements (4/19/2021)

Daniel Poland, Broker with McNally Financial Services, Accused of Recommending GPB Capital Private Placements (4/19/2021)

Louis Olave, Broker with Lincoln Investment, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations (4/19/2021)

Mazair Monshi, Broker with IFP Securities, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations (4/19/2021)

Paul Inouye, Formerly of Union Square Advisors, Suspended by FINRA Following Allegations of Failure to Disclose Two Felony Charges (4/19/2021)

Evan Schottenstein, Formerly of JPMorgan, Banned by FINRA Following Allegations of Trading Grandmother’s Assets Without Her Knowledge (4/19/2021)

GPB Capital Lawsuit News & Updates — Recover Your Investment Losses (4/14/2021)

Michael Cohn, Former CCO of GPB Capital, Sentenced to 9-Months House Arrest (4/12/2021)

Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC (4/12/2021)

Cubby Bice, Broker with Sagepoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations (4/12/2021)

Candice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval (4/12/2021)

Alan Price, Formerly of Edward Jones, Named in FINRA Complaint Alleging He Borrowed Money from Customers (4/12/2021)

Raymond Velasco, Formerly of LPL Financial, Suspended by FINRA For Creating False Termination Letters (4/12/2021)

Frank Sapareto, Formerly of Trustmont Financial, Charged in FINRA Complaint Alleging Concealment of an Outside Business Activity (4/12/2021)

Kevin Schaefer, Broker with Wells Fargo, Accused of Recommending Unsuitable Investments (4/12/2021)

Ignacio Erhart Del Campo, Formerly of Insigneo Securities, Suspended by FINRA Following Allegations of Trading in Deceased Client’s Account (4/12/2021)

Stockbroker Fraud: Can a Stock Broker Steal Your Money? (4/6/2021)

How to Sue a Financial Advisor or Stockbroker Over Investment Losses (4/4/2021)

Trevor Rahn, Formerly of JP Morgan, Suspended by FINRA Following Allegations of Unauthorized Trading (4/2/2021)

Archegos Capital Management Margin Losses (3/31/2021)

Michael Cohn, Former CCO of GPB Capital, Avoids Prison Time in SEC (3/31/2021)

Can My Broker Lend My Shares? (3/31/2021)

Zona Energy, Inc. Investment Losses (3/31/2021)

ERF Wireless, Inc. Investment Losses (3/31/2021)

Richman Energy, Inc., Investment Losses (3/31/2021)

Mewbourne Energy Partners 17-A Investment Losses (3/31/2021)

David Wall, Formerly of Voya Financial, Named in Three Pending Customer Disputes Alleging Unsuitable Recommendations (3/31/2021)

Jeffrey Stanga, Broker with FMN Capital, Suspended by FINRA Following Allegations He Failed to Disclose the Nature of His Outside Business Activities (3/31/2021)

Chad Mackland, Formerly of Lion Street Financial, Barred by FINRA Following Refusal to Provide Information (3/30/2021)

Jessica Richman and Zachary Apte, Co-Founders of uBiome, Inc., Charged by SEC with Defrauding Investors Out of $60 Million (3/30/2021)

Isaiah Goodman, Founder of MoneyVerbs, Pleads Guilty to One Count of Mail Fraud (3/23/2021)

Credit Suisse Expects Fund Defaults; Investors Threaten Litigation (3/23/2021)

Federal Government Seeking 6-Month Prison Sentence for Michael Cohn, Former CCO of GPB Capital (3/22/2021)

Efrain Trujillo, Formerly of Western International Securities, Barred by FINRA Following Allegations of Failure to Supervise (3/18/2021)

Brian Wurdemann, Broker with RBC Capital Markets, Named in Customer Dispute Seeking $1M in Damages (3/18/2021)

Michael Shillin, Barred Wisconsin Broker, Named in Five New Customer Disputes in February 2021 Alone (3/18/2021)

Patrick Horsman, Formerly of Blue Sand Securities, Permitted to Resign Following Allegations of Fraud (3/18/2021)

George Marshall Warner, Formerly of Chelsea Financial Services, Barred by FINRA For Failing to Produce Information (3/18/2021)

Nedjeen Baptiste, Formerly of JP Morgan, Barred by FINRA Following Refusal to Produce Information (3/18/2021)

Jason Dworak, Broker with UBS Financial Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (3/18/2021)

GPB Capital Holdings Fraud Trial Put on Hold (3/16/2021)

Cardone Capital Update; Class Action Filed Against Grant Cardone and His Funds (3/15/2021)

Rhett Bedwell, Formerly of LPL Financial, Barred by FINRA For Refusing to Provide Information (3/8/2021)

Keith Simmons, Broker with Merrill Lynch, Facing Customer Dispute Seeking $1M in Damages (3/8/2021)

Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes (3/8/2021)

Darryl Cohen, Broker with Morgan Stanley, Facing Customer Dispute Seeking $5M in Damages (3/8/2021)

Tamber King Proctor, Formerly of Securities America, Named in Customer Dispute Alleging Unsuitable Recommendations (3/8/2021)

Javelin Mikol San Nicolas, Formerly of Edward Jones, Barred by FINRA After Refusing to Provide Information (3/8/2021)

Kerry M. Moy, Formerly of Morgan Stanley, Suspended by FINRA for Submitting Inaccurate Expense Reports (3/8/2021)

Megurditch Mike Patatian, Formerly of Western International Securities, Charged by FINRA with Unsuitable Investment Recommendations (3/8/2021)

Elliot Smerling – Florida Fund Manager at JES Global Capital – Accused of Forging Investment Documents to Obtain $95M Loan (3/8/2021)

Triad Advisors Named in Customer Complaints Alleging Sales of GPB Capital (2/28/2021)

David Jenson, Formerly of Great Nation Investment Corporation, Barred by FINRA Following Refusal to Produce Information (2/26/2021)

Scott Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions (2/26/2021)

Evan Schottenstein, Formerly of JP Morgan, Accused of Abuse of Fiduciary Duty and Misrepresentation (2/26/2021)

Avi Elliot Schottenstein, Formerly of JP Morgan, Named in $69M FINRA Judgment (2/26/2021)

Harrison Chin Hoyes, Broker with UBS Financial, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (2/22/2021)

Cory Davern, Broker with Valic Financial Advisors, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (2/22/2021)

Michael Nigro, Broker with MML Investors Services, Facing Pending Customer Dispute Alleging Misrepresentation and Unsuitable Recommendations (2/22/2021)

Claimant Awarded Damages in FINRA Arbitration for Losses Sustained Investing in GPB Capital (2/22/2021)

James Schaedler Jr., Formerly of Wells Fargo, Barred by FINRA Following Refusal to Produce Information (2/22/2021)

Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Charged by SEC with Stealing Client Funds (2/22/2021)

Cynthia Cowden, Formerly of NPB Financial Group, Barred by FINRA Following Allegations of Recommending Unsuitable Investments (2/22/2021)

Valerie Ceballos, Formerly of Wells Fargo, Barred by FINRA After Refusing to Appear for Testimony (2/22/2021)

Aegis Capital Corp Complaints (2/21/2021)

FINRA Rule 3210: Accounts At Other Broker-Dealers and Financial Institutions (2/18/2021)

SEC Seeks Appointment of Independent Monitor for GPB Capital Holdings (2/16/2021)

Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information (2/16/2021)

Matthew Garrett, Formerly of MML Distributors, Barred by FINRA Following Failure to Respond to Request for Information (2/16/2021)

Daniel Levine, Formerly of Morgan Stanley, Barred by FINRA After Failing to Provide Requested Information (2/16/2021)

Miguel Rivera Jr., Formerly of Westpark Capital, Accused of Recommending Unsuitable Investments (2/16/2021)

Sumitro Pal, Formerly of Morgan Stanley, Facing Pending Customer Dispute Seeking $1.5 Million in Damages (2/16/2021)

NorthStar Healthcare Income REIT Investment Losses (2/16/2021)

FINRA Rule 2165: Financial Exploitation of Specified Adults (2/15/2021)

Ameriprise Financial Complaints & Misconduct (2/14/2021)

SEC Says GPB Capital Holdings Ponzi Scheme Defrauded 17,000 Investors (2/8/2021)

Galen Kopman, Formerly of Centaurus Financial, Facing Pending Customer Dispute Alleging He Recommended Unsuitable Investments (2/4/2021)

Joe Franklin, Formerly of LPL Financial, Facing Pending Customer Dispute Seeking Over $150K in Damages (2/4/2021)

Christopher Lawrence Phillips, Broker with RBC Capital, Facing Pending Customer Dispute Seeking Over $350K in Damages (2/4/2021)

Ryan Tarjanyi, Formerly of Trustmont Financial Group, Named in FINRA Investigation Alleging Various Forms of Misconduct (2/4/2021)

James Kenneth Couture, Formerly of LPL Financial, Barred by FINRA Following Refusal to Produce Information (2/4/2021)

Robyn Simons, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (2/3/2021)

David Karandos, Formerly of Dinosaur Financial Group, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations (2/3/2021)

Robinhood CEO Says It Stopped Trading to Meet Clearinghouse Deposit Requirements – but in Jeff Sonn’s Opinion, There Is a Lot More to This Story (2/3/2021)

Sonn Law Group Mentioned in Bloomberg Story About GameStop Stock Price Surge (2/1/2021)

Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice (1/28/2021)

Andrew Slocum, Formerly of Charles Schwab, Barred by FINRA After Failing to Respond to Information Request (1/27/2021)

Michael Shillin, Formerly of Alliance Global Partners, Barred by FINRA After Refusing to Provide Documents or Information (1/27/2021)

Former Broker Joseph Alhadeff Barred by FINRA After Refusing to Provide Information and Documents Requested (1/25/2021)

Jose Cornide Jr., Broker with UBS Financial, Facing 8 Pending Customer Disputes Alleging Unsuitable Recommendations and Misrepresentation (1/25/2021)

Forrest Jones, Formerly of Merrill Lynch, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/25/2021)

Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds (1/25/2021)

Securities Arbitration Respondent Went Bankrupt- Now What? (1/25/2021)

WFG Investments Inc: Information for Investors (1/24/2021)

Promissory Note Fraud: What Investors Need to Know (1/23/2021)

Western International Securities Complaints: Information for Investors (1/21/2021)

Ryan Raskin Barred by FINRA After Failing to Provide Information and Documents Requested (1/21/2021)

What Does a Securities Lawyer Do? (1/18/2021)

Security Exchange Commission Complaint: How to Report Your Brokerage Firm or Advisor (1/16/2021)

What is a Real Estate Ponzi Scheme? (1/16/2021)

FINRA 2111 Sustainability Rule (1/15/2021)

Hiring an SEC Lawyer to Recover Investment Losses (1/15/2021)

David Zupek, Broker with Concorde Investments, Facing Two Pending Customer Disputes (1/15/2021)

Barry Lemay, Broker with Concorde Investments, Facing Pending Customer Dispute Involving Suitability Claims (1/15/2021)

Michael Ecker, Formerly of Concorde Investments, Facing Pending Customer Dispute Alleging Overly Concentrated Investments in Unsuitable Illiquid REITs (1/15/2021)

Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments (1/14/2021)

FINRA Suspends Angel W. Bardeche Over Allegations of Unsuitable Mutual Fund Trading (1/14/2021)

James McPherson, Formerly of Great Point Capital, Facing Pending Customer Disputes Alleging Unsuitable Investments (1/14/2021)

Can a Ponzi Scheme Lawyer Recover Victims’ Losses? (1/13/2021)

FINRA Hits LPL Financial with $6.5 Million Fine Over Supervisory and Compliance Failures (1/11/2021)

Gene Esplin, Formerly of Kalos Capital and Triad Advisors, Named in Customer Dispute Seeking $1M in Damages (1/11/2021)

Gretchen Marie Schorr, Formerly of Moloney Securities, Facing Customer Dispute Alleging Solicitation of Unsuitable Recommendations (1/11/2021)

What is Hedge Fund Fraud? (1/10/2021)

Jason Howell Poff, Broker with Allstate Financial, Facing FINRA Complaint Alleging Engagement in Unapproved Outside Business Activities (1/8/2021)

Worden Capital Management LLC Consents to AWC Letter Alleging Failure to Supervise, Resulting in Excessive Trading and Unsuitable Investment Recommendations (1/8/2021)

Joseph Hershey Pratt, Barred by FINRA in 2019, Named in Customer Dispute Seeking $232K in Damages (1/7/2021)

Herbert Weith IV, Formerly of Wells Fargo, Facing Customer Dispute Seeking $260K in Damages (1/6/2021)

Lanny Howarter, Broker with Crown Capital Securities, Facing Customer Dispute Claiming Over $600K in Damages (1/5/2021)

Charles Thomas Stevens, Formerly of D.H. Hill Securities, Facing Customer Dispute Seeking $100K in Damages (1/5/2021)

How to File a Complaint Against Your Financial Advisor or Stockbroker (1/2/2021)

How an Investment Fraud Attorney Can Help You Recover Losses (12/28/2020)

Nicholas Palumbo, Formerly of Park Avenue Securities, Under Investigation for Alleged “Selling Away” (12/21/2020)

Rich Jackman, Broker with Crown Capital Securities, Facing $4M Customer Dispute Alleging Unsuitable Recommendations (12/21/2020)

Gihan Anil Fernando, Broker with BOK Financial Securities, Facing $1M Customer Dispute Alleging Unsuitable Recommendations (12/17/2020)

Tatyana Bunich, Broker with Independent Financial Group, Facing Customer Dispute Alleging Unsuitable REIT Investment (12/17/2020)

Franklin Square BDC Investments: Have You Suffered Losses? (12/17/2020)

Thomas Fross, Broker with LPL Financial, Facing Customer Dispute Alleging Unsuitable Portfolio Changes (12/17/2020)

GeoStellar, Inc. Files for Bankruptcy – Were You Sold Investments? (12/16/2020)

Hartman Short Term Income Properties XX REIT: Can I Recover Losses? (12/16/2020)

Stira Alcentra Global Credit Fund: Can I Recover Losses? (12/16/2020)

Merrill Lynch Pays Record $26.25M in Fines and Restitution in New Hampshire Case Involving Ex-Broker Charles E. Kenahan. (12/11/2020)

Angelo Kafkes, Broker with Wells Fargo, Facing $100K Customer Dispute Alleging Unsuitable Recommendations (12/11/2020)

FS Investment Corporation II (FSIC II): Can I Recover Investment Losses? (12/9/2020)

RealSource Equity Services LLC: Can I Recover Investment Losses (12/9/2020)

Gregory Walter McCloskey, Formerly of Newport Coast Securities, Facing FINRA Complaint Alleging He Participated in Two Undisclosed Private Securities Transactions (12/9/2020)

Investment Losses in Strategic Student & Senior Housing Trust, Inc.? You May Be Able to Recover (12/7/2020)

NorthStar Healthcare Income REIT Chairman Justin Chang Resigns (12/7/2020)

Watermark Lodging Trust REIT: Can I Recover Investment Losses? (12/7/2020)

Bryan Mazliach, Formerly of Westpark Capital, Facing Allegations of Excessive and Unsuitable Trading (12/2/2020)

Jeff LaBelle, Formerly of LPL Financial, Facing Seven Pending Customer Disputes Alleging Unsuitable Investment Recommendations (12/1/2020)

Douglas Schmitz, Broker with Classic, LLC, Facing Customer Dispute Alleging Lack of Fiduciary Responsibility (11/25/2020)

Gary Ginsberg, Formerly of Royal Alliance Associates, Facing Customer Dispute Involving Alternative Investment Losses (11/25/2020)

Were You Advised to Invest in RealSource Equity Services LLC? You May Have Options for Loss Recovery (11/24/2020)

Investment Losses in Strategic Student & Senior Housing Trust, Inc.? You May Be Able to Recover (11/24/2020)

Shaun Stein, Broker with National Securities Corp., Facing Customer Disputes Alleging Unsuitable Investments (11/24/2020)

Peter Kohli, Formerly of Trustmont Financial Group, Facing 5 Pending Customer Disputes Alleging Various Forms of Misconduct (11/24/2020)

Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes (11/20/2020)

Michael Bell, Broker with Cetera Advisor Networks, Facing Customer Dispute Alleging Unsuitable, Over-Concentrated Investments (11/20/2020)

Joseph Kelly, Broker with Spartan Capital Securities, Facing 3 Customer Disputes Alleging Unsuitable Investment Recommendations (11/20/2020)

Felipe Henao Vargas, Broker with Insigneo Securities, Facing $1.3M Customer Dispute Involving VIX Short-Term Futures ETN (11/18/2020)

Tatyana Moyseevna Bunich, Broker with Independent Financial Group, Facing Two Customer Disputes Alleging Unsuitable Investments (11/18/2020)

Maurice McKinney, Broker with Concorde Investment Services, Facing $1M Customer Dispute Regarding REIT Investments (11/18/2020)

David Taddeo, Broker with LPL Financial, Facing Pending Customer Dispute Alleging Issues with Variable Annuity Income Withdrawals (11/18/2020)

Felix Chu, Formerly of NY Life, Facing Two Pending Customer Disputes Alleging Unsuitable Promissory Note Investments (11/18/2020)

Matthew Nekuza, Formerly of TD Ameritrade, Barred by FINRA Over Allegations of Conversion of Firm Funds and Providing False Testimony (11/17/2020)

AXA Advisors Complaints: Information for Investors (11/16/2020)

Recover “YES” Investment Losses with Brokers of The Washingtonian Group (11/16/2020)

Ivan Shore, Oppenheimer Financial Advisor, Accepts FINRA Suspension Over Alleged Pattern of Unsuitable Recommendations (11/12/2020)

Jorge Sonville, Broker with Merrill Lynch, Facing $4M Customer Dispute Alleging An Unsuitable Investment Recommendation (11/11/2020)

Royce Running, Broker with Centaurus Financial, Facing Customer Dispute Alleging Unsuitable and Illiquid Investment Recommendations (11/10/2020)

Kevin Fretz, Formerly of LPL Financial, Facing Allegations of Unsuitable Investment Recommendations in Non-Traded REITs (11/10/2020)

Nassau River Partners, LLC Investor Losses on Conservation Easements (11/9/2020)

Sailfish Cove Group, LLC Investor Losses on Conservation Easements (11/9/2020)

Quorum Holdings Partners, LLC Investor Losses on Conservation Easements (11/9/2020)

Orange Wood Partners, LLC Investor Losses on Conservation Easements (11/9/2020)

Orange Stone Group, LLC Investor Losses on Conservation Easements (11/9/2020)

Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation (11/5/2020)

Chris Tolmacs, Formerly of Triad Advisors, Facing Customer Dispute Alleging Unsuitable Investments (11/4/2020)

SEC Charges Adam P. Rogas, Founder of NS8, Inc., With Fraud; Investors May Have Options for Recovery (11/2/2020)

Charatie A. Seelye Among 60 Defendants Charged in $300M Telemarketing Fraud Scheme Targeting Seniors (11/2/2020)

Brooklynn Chandler Willy Suspended by Texas Securities Regulator Over Alternative Sales to Conservative Investors (10/29/2020)

James Geake, Broker with Madison Avenue Securities, Subject of Multiple Settled Customer Disputes Alleging Misconduct (10/29/2020)

Joseph Hain, Broker with Noble Capital Markets, Facing Two Customer Disputes Alleging Misrepresentation of Investments (10/29/2020)

Samuel Izaguirre, Broker with LPL Financial, Facing $600K Customer Dispute (10/27/2020)

Brendan Shaw, Formerly of Purshe Kaplan Sterling Investments, Facing Three Pending Customer Disputes Alleging Unsuitable Investments and Excessive Trading (10/27/2020)

Tony Esses, Broker with Wells Fargo, Facing Customer Dispute Alleging Fraud (10/27/2020)

Justin Girard, Broker with JP Morgan, Facing $1M Customer Dispute Alleging Excessive Trading (10/27/2020)

Christopher Fernan, Formerly of Salomon Whitney Financial, Barred by FINRA Over Failure to Provide Testimony (10/23/2020)

Troy Baily, Formerly of Sagepoint Financial, Suspended by FINRA While Facing $135K Customer Dispute Alleging Improper Investment Recommendations (10/23/2020)

John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization (10/21/2020)

Travis Nelson, Formerly of Charles Schwab, Suspended Over Allegations of Forging Client Signatures (10/21/2020)

Pratul Agnihotri, Broker with SW Financial, Suspended and Fined Over Alleged Outside Business Activities (10/20/2020)

Rodney Stuart Ferguson, Broker with NY Life, Facing $170K Customer Dispute Alleging Unsuitable Recommendations (10/20/2020)

Joseph Chu, Broker with RBC Capital Markets, Facing Over $2M in Customer Disputes Involving Energy Sector Losses (10/19/2020)

Jonathan Freeze, Formerly of Fortune Financial Services, Facing 8 Pending Customer Disputes (10/15/2020)

David Turetzky, Formerly of Morgan Stanley, Facing 3 Pending Customer Disputes Alleging Failure to Supervise Management of Customer Accounts (10/15/2020)

Brian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty (10/15/2020)

Lonna Rae Dehn Ristvedt, Formerly of LPL Financial, Suspended by FINRA Over Allegations of Engaging in Private Securities Transactions (10/15/2020)

Neemit Shah, Formerly of Northwestern Mutual, Suspended and Fined Over Alleged Unapproved, Private Securities Transactions (10/13/2020)

David Tucker, Formerly of Brooklight Place Securities, Facing Administrative Action by State of Florida Over Alleged Misconduct (10/13/2020)

Stephen Whittaker, Formerly of First Financial Equity, Fined and Suspended by FINRA Over Allegations of Unreported Outside Business Activities (10/13/2020)

Wells Fargo Pays $79M to Settle Class Action Over Forfeiture of Deferred Compensation Brought by Ex-Financial Advisors (10/12/2020)

Robert Meyer, Broker with Monmouth Capital Management, Suspended by FINRA Over Alleged Unsuitable Trading (10/8/2020)

Oasis Petroleum Investment Losses? Learn Your Options for Recovery (10/8/2020)

Michael Bell, Broker with Cetera Advisor Networks, Named in Customer Dispute Seeking $237K in Damages (10/7/2020)

Alec Franks, Formerly of First Standard Financial, Barred by FINRA Over Failure to Cooperate with Investigation into Alleged Outside Business Activities and Excessive Trading (10/6/2020)

Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading (10/1/2020)

Corbin Lambert, Former CEO of Continuum Financial, Charged by SEC with Conducting Cherry-Picking Scheme (10/1/2020)

Lindner Capital Investors and its Founder, Robert J. Lindner, Charged by SEC (9/30/2020)

Craig Zabala, Owner of Concorde Group Holdings, Charged with Fraud by SEC (9/30/2020)

Andrew Perri, Investment Adviser with Pinnacle Wealth Management, Named in Customer Dispute Alleging Unsuitable Recommendations (9/29/2020)

Michael Martino, Broker with Four Points Capital Partners, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (9/29/2020)

John Orlando, Broker with SW Financial, Facing Pending Customer Disputes Over Unsuitable Investment Recommendations (9/29/2020)

William Baumner, Broker with TradeSpot Markets, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (9/28/2020)

Monty Cerf, Broker with UBS Financial, Named in Multiple Customer Dispute Seeking Over $19M in Damages (9/28/2020)

Neil James Buono, Formerly of Taylor Capital, Barred by FINRA Following Allegations of Forging Client Signatures (9/28/2020)

Ronald Birnbaum, Broker with Advisory Equity Services, Named in Four Customer Disputes Seeking Over $600K in Combined Damages (9/28/2020)

Marshall Isaacson, Formerly of Newbridge Securities, Barred by FINRA After Refusing to Provide Documents and Information (9/24/2020)

Michael Kamperman, Formerly of HD Vest Investment Services, Named in Multiple Customer Disputes Seeking $600K in Damages (9/22/2020)

Cygnus Capital Management and Late CEO Richard Ventrilla Charged by SEC with Fraud (9/22/2020)

Craig Foreman, Broker for Edward Jones, Facing Customer Dispute Alleging Fraud (9/21/2020)

Jeffrey Dillman, Broker for Trustmont Financial, Named in Customer Dispute Seeking Over $375K in Damages (9/21/2020)

Scott Fries, Formerly of TransAmerica Financial Advisors, Charged by SEC with Defrauding Clients (9/21/2020)

Wunderlich Securities Complaints (9/18/2020)

Paul Antevy, Broker with FMSBonds, Named in $500K Customer Dispute Alleging Junk Bond Sales (9/15/2020)

Frank Mastrosimone, Broker with Pruco Securities, Accused of Making Inappropriate Private Investment Recommendation (9/15/2020)

Kevin Meadows, Formerly of IBN Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations (9/15/2020)

Carl Schwartz and RRBB Asset Management, LLC Charged by SEC with Conducting Cherry-Picking Scheme to Defraud Investors (9/15/2020)

Michael Cohn, Former Chief Compliance Officer for GPB Capital Holdings, Pleads Guilty to Theft of Government Property (9/11/2020)

Steven Rodemer, Formerly of Stifel, Nicolaus & Company, Fined by SEC Following Allegations of Scamming an Elderly Client (9/11/2020)

Steven Fitzgerald Brown, Owner of Alpha Trade Analytics, Charged By SEC with Fraud (9/10/2020)

Rollover Rule Proposed by DOL Could Put Retirement Savers at Risk (9/9/2020)

Phillip Conley, Formerly of Merrill Lynch, Indicted for Role in Fraudulent Securities Offering (9/8/2020)

Peter Ianace, Formerly of Wells Fargo, Barred by FINRA For Refusing to Cooperate with Investigation (9/8/2020)

Sonn Law Group Investigating Fund Evaluation Group LLC; Did you lose money in Malachite Capital? (9/7/2020)

Rani Soto, Formerly of Prudential Investment Management, Named in FINRA Complaint Alleging Failure to Disclose Outside Business Activities (9/3/2020)

Gary Wykle and Alejandro Cortes, Principals of The Republic Group, Charged by SEC for Engaging in Alleged Ponzi Scheme (9/3/2020)

Matthew Clason, Formerly of LPL Financial, Charged by SEC With Stealing Client Funds (9/2/2020)

Did YieldStreet Admit to Conducting Poor Due Diligence? (9/2/2020)

Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts (9/1/2020)

Christopher Lee Hibbard, Formerly of Merrill Lynch, Pleads Guilty to Fraud Charges (9/1/2020)

Mark Boucher, Formerly of Raymond James Financial Services, Charged by SEC with Fraud (8/31/2020)

Coral Gables Asset Management and Owner, David Coggins, Charged by SEC with Fraud (8/31/2020)

Ohio Broker Dominic A. Tropiano Charged by SEC with Fraud (8/28/2020)

Joseph LaForte, Founder of Par Funding, Seeks Release from Prison, Consents to SEC’s Control of Company Until Civil Case is Resolved (8/28/2020)

Minish “Joe” Hede and Kevin Graetz, Formerly of Paulson Investment Company, Charged by SEC Following Allegations of Selling Away (8/27/2020)

Charles Burchard, Formerly of Allstate Financial Services, Barred by FINRA Following Allegations of Engaging in Undisclosed Business Activities (8/26/2020)

ARC NYC REIT Investment Losses (8/26/2020)

William Aubrey Morrow, Broker with Concorde Investment Services, Facing Customer Dispute Seeking $100K in Damages (8/25/2020)

Robert Gianchiglia, Advisor for USA Financial Securities, Named in $200K Customer Complaint Alleging Misrepresentation (8/25/2020)

Mark Wojno, Formerly of Berthel, Fisher & Company, Accused of Recommending Unsuitable Investments (8/25/2020)

FINRA Rule 3280: Private Securities Transactions (8/23/2020)

Mary Martinez, Financial Adviser of Glencoe, Indicted on Fraud Charges (8/21/2020)

Forouzan Pooladi, Formerly of JP Morgan, Barred by FINRA After Failing to Cooperate (8/19/2020)

Ross Barish, Broker with Joseph Stone Capital, Charged with Fraud by SEC (8/19/2020)

Heartland Production and Recovery LLC Ordered to Cease and Desist by MI Regulator (8/19/2020)

Kevin Gunnip, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Unsuitable Short-Term Trading (8/18/2020)

Ernest Mishne, Broker with Oppenheimer & Co., Named in Pending Complaint Seeking $440K (8/18/2020)

Kovack Securities Complaints: Information for Investors (8/16/2020)

Charles Schwab Complaints & Information for Investors (8/16/2020)

Daniel Pimental, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (8/15/2020)

Christopher Reid, Formerly of Morgan Stanley, Suspended Following Allegations of Outside Trading (8/15/2020)

Yieldstreet Being Investigated by SEC and FBI (8/15/2020)

Christopher Pullaro, Broker for Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (8/13/2020)

3D Money LLC Facing Complaint by Washington State Alleging Sale of Unregistered Securities (8/13/2020)

Joseph LaForte, Founder of Par Funding, Arrested on Weapons Charges (8/13/2020)

Jack Brewer, Formerly of Brewer Capital Management, Charged by SEC with Insider Trading (8/11/2020)

Sylvester Knox, Formerly of Merrill Lynch, Suspended by FINRA for Alleged Unauthorized Trading and Failing to Disclose Felony Indictment (8/11/2020)

Raymond Ferro – Ex-Woodbury Financial Broker – Faces Allegations of Theft (8/6/2020)

Christopher Bennett, Formerly of Hilliard Lyons, Barred by FINRA After Failing to Provide Documents (8/6/2020)

Frederick Levine, Broker with RBC Capital Markets, Suspended by FINRA Following Allegations of Unsuitable Recommendations (8/5/2020)

Joseph Michaletz, Broker with DAI Securities, Facing Customer Disputes Over GPB Capital Investments (8/4/2020)

Charles Kulch, Formerly of Next Financial Group, Accusing of Over-Concentrating Portfolios (8/4/2020)

Law.com: Mysterious Death Leads South Florida, Georgia Lawyers to $2M Life Insurance Settlement (8/3/2020)

Stephen Sloane, Broker for Westpark Capital, Charged by FINRA with Recommending Unsuitable Investment Strategies (7/31/2020)

Par Funding – Investor Loss Recovery Center (7/31/2020)

Bryant Caveness, Formerly of Ameriprise Financial Services, Barred by FINRA Over Ethics Violations (7/29/2020)

Mark Hopkins, Formerly of American Portfolios Financial Services in Michigan, Charged by SEC with Misappropriating Client Funds (7/28/2020)

GPB Capital Holdings Reports Sharp Decline in Assets Under Management (7/28/2020)

Timothy Touloukian, Formerly of Paulson Investment Company, Named in Customer Dispute Seeking $500K in Damages (7/27/2020)

Robert Buffington, Formerly of Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (7/24/2020)

Scot Fairchild, Broker with Lucia Securities, Named in Customer Dispute Seeking Over $200K in Damages (7/24/2020)

Thomas Kelly Jr., Broker with Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (7/24/2020)

James Daughtry, Formerly of Kestra Investment Services, Sued for Alleged Fraud and Theft (7/23/2020)

Gene Esplin, Formerly of Kalos Capital, Named in Customer Dispute Seeking $1M in Damages (7/23/2020)

First Western Capital Management, Denver-based Investment Advisory Firm, Fined $200K by SEC (7/21/2020)

David Hu, Co-Founder of International Investment Group, Charged in Alleged Ponzi Scheme (7/21/2020)

Dustin Shafer, Formerly of Money Concepts Capital, Named in Multiple Customer Disputes Seeking Over $500K (7/21/2020)

Scott Reed, Broker for First Financial Equity, Resigns from Wells Fargo Following Allegations of Selling Away (7/20/2020)

James Kirchner, Formerly of David A. Noyes & Company, Accused of Making Unsuitable Investment Recommendations (7/20/2020)

Kevin Rainwater, Broker for Arkadios Capital, Accused of Recommending Unsuitable Investments (7/20/2020)

Jeffrey McHale, Broker for Ameriprise Financial Services, Accused of Recommending Unsuitable Investments (7/17/2020)

Eladio Santiago, Formerly of UBS Financial, Named in Two Customer Disputes Alleging Unsuitability (7/16/2020)

TD Ameritrade Complaints: Information for Investors (7/15/2020)

GPB Capital and Affiliated Companies Received Between $3M and $7M in PPP Loans (7/14/2020)

Have You Suffered Losses Investing with Merrill Lynch Broker Charles E. Kenahan? (7/13/2020)

FINRA Rule 12200: Definition of Customer (7/11/2020)