Sonn Law Blog

Browse posts from the Sonn Law Group blog below.

• James Wightman Wilcox, Broker with First Republic Securities, Named in Customer Disputes Alleging Unsuitable Investment Allegations (10/18/2021)
• Nicholas R. Palumbo, Formerly of Park Avenue Securities, Barred by FINRA Following Refusal to Produce Information (10/18/2021)
• Louis Martin Wargo, Broker with FSC Securities, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
• Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
• William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (10/18/2021)
• SEC Accuses Sky Group USA and CEO Efrain Betancourt, Jr. of Operating $66M Promissory Note Scam (10/12/2021)
• Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement (10/12/2021)
• Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients (10/12/2021)
• Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony (10/12/2021)
• Department of Justice Charges Chicago Trader Keith Wakefield with Securities Fraud (10/7/2021)
• Alan Harold New, Formerly of NYLife Securities, Barred by FINRA Following Refusal to Provide Documents and Information (10/7/2021)
• Barry Steven Snyder, Formerly of Snowden Account Services, Named in Customer Dispute Seeking $500k in Damages (10/7/2021)
• SEC Charges TCFG Investment Advisors, Affiliated Broker-Dealer and Its President Alleging Materially False and Misleading Statements (10/7/2021)
• SEC Accuses Ron K. Harrison of Global Trading Institute, LLC of Ongoing Investment Advisory Fraud (10/6/2021)
• Northstar Financial Services (Bermuda), Ltd. Investment Losses (10/5/2021)
• Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act (10/5/2021)
• Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients (10/5/2021)
• Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages (10/5/2021)
• What Does a Securities Lawyer Do for Investors Who Have Suffered Losses? (10/4/2021)
• SEC Charges John J. Woods (Horizon Private Equity, III, LLC) of Running Decade-Long, $110M Ponzi Scheme (10/4/2021)
• Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (10/3/2021)
• SEC Charges Back to Green Mining, LLC, and Managing Members with Fraud (9/30/2021)
• Missouri-Based Investment Adviser Buttonwood Financial Group Accused of Investing Clients in Higher Cost Mutual Funds to Avoid Transaction Fees (9/30/2021)
• Conservation Easement Investment Losses (9/30/2021)
• Biscayne Capital Owners Indicted, Accused of Operating $155 Million Investment Fraud (9/27/2021)
• Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months (9/20/2021)
• Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages (9/20/2021)
• Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (9/20/2021)
• Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information (9/20/2021)
• Christopher George Orlando, Formerly of Spartan Capital Securities, Barred by FINRA Following Allegations of Excessive Trading (9/20/2021)
• Alfonse Joseph Stazzone, Formerly of Monmouth Capital Management, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (9/20/2021)
• Investors in Million Dollar Ponzi Scheme Collaborate for Maximum Recovery (9/20/2021)
• Joseph Whitney, Formerly of UBS Financial Services, Denied Registration by New Jersey Bureau of Securities (9/20/2021)
• Robert Henderson Jr., Broker with San Blas Securities, Suspended by FINRA for 13 Months (9/20/2021)
• Thomas Ward Stratton, Formerly of World Choice Securities, Barred by FINRA Following Investigation into Misuse of Customer Funds (9/20/2021)
• Class Action: Charles Schwab Intelligent Portfolio (9/17/2021)
• WSJ: Ex-Broker Ordered to Pay Former NBA Player $2M (9/13/2021)
• ElectroCore, Inc. Investment Losses (9/9/2021)
• SEC Charges Mississippi Company and Its Principal with Operating a Ponzi Scheme (9/9/2021)
• SEC Charges Minnesota Couple with Operating $18 Million Ponzi Scheme (9/9/2021)
• Sonn Law Group Says Accused Ponzi Schemer Larry Ramos Mendoza Has Escaped House Arrest Pending Charges in Ponzi Scheme Case (9/3/2021)
• Former Morgan Stanley Broker Sues Firm Over Deferred Compensation Denial (8/26/2021)
• SEC Charges Robert J. Mueller of deeproot funds LLC with Operating $58M Ponzi Scheme (8/24/2021)
• Sonn Law Group is Investigating L Bonds Offered by GWG Holdings (8/23/2021)
• SEC Obtains Court Order Against New York Investment Adviser Martin Ruiz (8/19/2021)
• Martin Ruiz, New York Investment Adviser, Charged with Defrauding Clients and Misappropriating Client Funds (8/19/2021)
• Gerald Allen Eaton, Boston Investment Advisor, Pleads Guilty to Stealing Over $3.7 Million in Client Funds (8/19/2021)
• Las Vegas-Based Profit Connection Wealth Services, Inc., Charged by SEC with Fraud (8/16/2021)
• Ronnie Metcalf, Broker with Cetera Advisors, Accused of Failure to Supervise (8/16/2021)
• Lyle Wesley Davis, Broker with Wilson-Davis & Co., Agrees to FINRA Settlement Alleging Failure to Supervise (8/16/2021)
• Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations (8/16/2021)
• James Rudnick, Florida Real Estate Developer, Charged by SEC with Fraud (8/16/2021)
• Activision Blizzard, Inc., Facing Allegations of Permitting a Workplace Culture of Sexual Harassment (8/16/2021)
• Sigma Financial Corporation: Information for Investors (8/15/2021)
• MJ Capital Funding CEO Johanna M. Garcia Accused of Operating a Massive Ponzi Scheme by SEC (8/15/2021)
• Monarch Capital Investment Fund, LLC Ordered to Cease and Desist by Missouri Securities Division (8/12/2021)
• Mine Shaft Brewing and its Principals Charged by SEC with Fraud (8/12/2021)
• George Heckler, Unregistered Investment Adviser, Charged by SEC with Misleading Investors (8/12/2021)
• Daniel James O’Neill, Formerly of NYLife Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (8/12/2021)
• SEC Charges Florida-Based Company, The Republic Group, with Defrauding Investors (8/12/2021)
• Geoffrey Thompson Charged by SEC with Selling Unregistered Securities (8/12/2021)
• Narith Long, Formerly of NYLife Securities, Named in Customer Dispute Alleging Unauthorized Securities Transactions and Unsuitable Recommendations (8/12/2021)
• Boeing Employees’ Credit Union Wrongful Overdraft Fees (8/12/2021)
• TD Bank Wrongful Overdraft Fees (8/12/2021)
• How a Ponzi Scheme Lawyer Can Help Victims Recover Investment Losses (8/12/2021)
• Sonn Law Group Investigating Stallion Real Estate Funds (8/5/2021)
• Medley Management Investment Losses (7/28/2021)
• Joseph Michael Fedorko, Jr., Broker with Laidlaw & Co. (UK), Named in Customer Dispute Alleging Churning and Unauthorized Trading (7/28/2021)
• Samuel Mancini, Colorado Fund Manager and CEO, Charged with Securities Fraud, Wire Fraud, and Money Laundering (7/28/2021)
• Oatly Group AB Investment Losses (7/28/2021)
• Kenric Lamont Sexton, Formerly of Wells Fargo, Suspended by FINRA Due to Allegations of Misrepresentations on a Loan Application (7/28/2021)
• Henry Chia-How Chang, Broker with Laidlaw & Company (UK), Named in Customer Dispute Alleging Selling Away (7/23/2021)
• Patrick William Naughton, Broker with LPL, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
• Mark Allen Upchurch, Formerly of Centaurus Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
• Michael Frank Paesano, Formerly of Morgan Stanley, Named in Three Pending Customer Disputes Alleging Excessive Trading (7/23/2021)
• NEXT Financial Consents to $750K FINRA Penalty for Sales Violations (7/23/2021)
• Commonwealth Financial Network Complaints: Information for Investors (7/20/2021)
• Securities America Advisors Ordered to Pay $1.75 Civil Penalty for Failing to Protect Clients from Ponzi Scheme (7/19/2021)
• Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations (7/19/2021)
• David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (7/19/2021)
• Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages (7/19/2021)
• Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds (7/19/2021)
• Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year (7/19/2021)
• John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information (7/19/2021)
• Wells Fargo Advisors Complaints: Information for Investors (7/16/2021)
• AXA Advisors Complaints: Information for Investors (7/16/2021)
• TD Ameritrade Complaints: Information for Investors (7/15/2021)
• Woodbridge Ponzi Scheme Class Action Update: Plaintiffs File Motion for Class Certification (7/15/2021)
• Park Avenue Securities Complaints: Information for Investors (7/14/2021)
• Sonn Law Says that the Banks Who Advised the Puerto Rico Government to Issue Bonds should pay the Nearly $1 Billion in Legal Fees Charged By Attorneys and Professionals to Restructure Puerto Rico’s Debt (7/14/2021)
• Philip Donald Beviano, Broker with Signature Securities, Named in Multiple Pending Customer Disputes Alleging Misrepresentations (7/7/2021)
• Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct (7/7/2021)
• Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty (7/7/2021)
• Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (7/7/2021)
• Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes (7/7/2021)
• Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations (7/7/2021)
• Benefit Street Partners REIT Investment Losses (7/7/2021)
• Prestige Equity Ordered to Cease and Desist Operations; Accused of Being a Fraudulent Investment Scheme (7/7/2021)
• Did You Suffer Losses Investing with Gregory Paris of Barrington Asset Management, Inc.? (7/6/2021)
• Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information (7/6/2021)
• Investigation: Banks Charging Excessive ATM Fees without Adeqaute Disclosure (7/2/2021)
• Investigation: MR (Mark Ray) Cattle, Accused Ponzi Scheme (7/2/2021)
• Investigation: Champlain Towers South Complex in Surfside, Florida (7/2/2021)
• Robinhood Fined $70 Million; Sonn Law Investigating Claims That Robinhood Wrongfully Approved Option Accounts (7/1/2021)
• Champlain Towers Condominium Collapse A Tragedy That May Have Been Avoidable (6/25/2021)
• Did You Suffer Significant Losses Investing in Peachtree Hotel Value & Income Fund II and Related Funds? (6/24/2021)
• Steve Berrocal, Broker with Truist Investment Services, Named in Three Pending Customer Disputes Alleging Unsuitable Investment Recommendations (6/23/2021)
• Christopher Bice, Broker with SagePoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations (6/23/2021)
• David Fenning, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/23/2021)
• Louis Kreisberg Barred by FINRA Following Refusal to Produce Information (6/23/2021)
• Edward Earl Matthes, Formerly of Mutual of Omaha Investor Services, Sentenced to Over 5 Years in Federal Prison (6/23/2021)
• Paul Richard McGonigle, Formerly of LPL Financial, Accused of Defrauding Elderly Clients (6/23/2021)
• Property Income Investors and its Founder, Larry Brodman, Charged by SEC with Operating Real Estate Scam (6/23/2021)
• Recovering Investment Losses in Special Purpose Acquisition Companies (SPACs) (6/22/2021)
• Did You Suffer Significant Losses Investing in the Hospitality Investors Trust (HIT) REIT? (6/17/2021)
• Emergent Capital, Inc. Investment Losses (6/14/2021)
• James Mark Senglaub, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $300K in Damages (6/14/2021)
• Walter Leighton Stallones, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/14/2021)
• Dermond Thomas Cavanaugh, Formerly of Merrill Lynch, Named in Customer Dispute Seeking $50M in Damages (6/14/2021)
• Richard Evan Baer, Broker with Lion Street Financial, Facing Multiple Customer Disputes Seeking Over $1.75M Collectively (6/14/2021)
• Brent Charles Bunger, Broker with Lion Street Financial, Named in Pending Customer Dispute Seeking $850K (6/14/2021)
• Premium Healthcare Solution, LLC Charged by SEC with Fraudulently Raising Nearly $4M from Investors (6/14/2021)
• Grant Christopher Birkley, Formerly of Sagepoint Financial, Barred by FINRA Following Refusal to Produce Documents and Information (6/14/2021)
• Abhishek Sheth, Broker with National Securities Corporation, Accused of Recommending GPB Capital Investments (6/14/2021)
• David Reimer, Broker with Aegis Capital, Accused of Recommending Investments in GPB Capital (6/14/2021)
• William Ard, Broker with Morgan Stanley, Named in Customer Dispute Seeking $6.5M in Damages (6/4/2021)
• Leif David Olson, Broker with Wells Fargo, Named in Customer Dispute Seeking $400k in Damages (6/4/2021)
• John Wade Loofbourrow, Formerly of Demopolis Capital, Facing Customer Dispute Alleging Investments in Ponzi Scheme (6/4/2021)
• James Frederic Bowdish, Broker with Edward Jones, Named in customer Dispute Alleging Failure to Pay Life Insurance Premiums (6/4/2021)
• Rudolf Molnar, Broker with Ameriprise Financial, Named in Customer Dispute Alleging Unsuitable Recommendations (6/4/2021)
• Mark Barrand, Broker with Ameriprise Financial Services, Facing Customer Disputes Alleging Unsuitable Recommendations (6/4/2021)
• SEC Charges BitConnect Promoters with Selling Unregistered Securities (6/4/2021)
• Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages (5/26/2021)
• Adam Belardino, Formerly of MML Investors, Suspended by FINRA Following Failure to Appear for Testimony (5/26/2021)
• Randy Scott Larson, Broker with Arete Wealth Management, Named in Arbitration Claim (5/26/2021)
• Joey Dale Miller, Broker with Arete Wealth Management, Named in Arbitration Claim (5/26/2021)
• Brian Sanguinet, Broker with Arete Wealth Management, Named in Arbitration Claim (5/26/2021)
• Legend Securities Complaints: Information for Investors (5/20/2021)
• Law 360: DLA Piper Attorney Can’t Shake Ponzi Tie Suit, Judge Told (5/20/2021)
• William Herman Dixon, Formerly of Securities America, Barred by FINRA After Refusing to Provide Requested Documents (5/19/2021)
• Candido Jose Viyella, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Appear for Testimony (5/19/2021)
• Jason Dipaola, Formerly of Chardan Capital Markets, Named in FINRA Investigation Following Allegations of Trading in His Mother’s Account (5/19/2021)
• Maxwell Drever, California-Based Real Estate Developer, Charged by SEC Following Allegations of Misleading Investors (5/19/2021)
• Robin Vail Platt, Broker with Hancock Whitney Investment Services, Accused of Unsuitable Investment Recommendations (5/19/2021)
• Tyler Tysdal, Owner of Cobalt Sports Capital, Accused of Defrauding Investors (5/19/2021)
• Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages (5/19/2021)
• Matthew Clason, Formerly of LPL Financial, Pleads Guilty to Wire Fraud (5/19/2021)
• Presidential Brokerage Complaints: Information for Investors (5/18/2021)
• Newbridge Securities Complaints: Information for Investors (5/17/2021)
• ProEquities Complaints: Information for Investors (5/14/2021)
• Invest Financial Corporation Complaints: Information for Investors (5/14/2021)
• Purshe Kaplan Sterling Investments Complaints: Information for Investors (5/14/2021)
• Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages (5/10/2021)
• Gregory Hersch, Broker with Old City Securities, Named in Customer Dispute Seeking Over $1M in Damages (5/10/2021)
• Cenk Kozulcali, Broker with Charles Schwab, Named in Customer Dispute Seeking Over $700K in Damages (5/10/2021)
• John Lee Scott, Formerly of LPL Financial, Barred by FINRA After Refusing to Appear for Testimony (5/10/2021)
• David Michael Logsdon, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/10/2021)
• Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/10/2021)
• John Gilbert Simpson, Formerly of JP Morgan, Named in Customer Dispute Alleging Misrepresentation (5/10/2021)
• FF Fund Management, LLC Investment Losses (5/10/2021)
• Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading (5/3/2021)
• Cardone Capital Review | Is it a Scam? Is it Fraud? (4/30/2021)
• 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)
• Securities Litigation Settlement Tax Treatment – Are Settlements Taxable? (4/18/2021)
• 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)
• How to File a Complaint Against Your Financial Advisor or Stockbroker (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)
• 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)
• 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 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)