Sonn Law Blog » Sonn Law Group

Browse posts from the Sonn Law Group blog below.

What Does a Securities Lawyer Do for Investors Who Have Lost Money Because of Fraud or Negligence? (1/18/2022)
Triad Advisors Fined $705K by FINRA for Failure to Supervise Which Resulted in Sales of Now-Defunct Risky Alternative Investments (1/10/2022)
Andrew James Pravlik, Broker with Coastal Equities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (1/10/2022)
How a FINRA Attorney Can Help You Recover Investment Losses (1/10/2022)
Hiring an SEC Lawyer to Recover Investment Losses (1/9/2022)
How a Ponzi Scheme Lawyer Can Help Victims Recover Investment Losses (1/8/2022)
Financial Advisor Scams: The Most Common Ways that Advisors Harm Investors (1/7/2022)
How to File a Complaint Against Your Financial Advisor or Stockbroker (1/6/2022)
How a Securities Fraud Attorney Can Help You Recover Losses (1/5/2022)
How to Sue a Financial Advisor or Stockbroker Over Investment Losses (1/4/2022)
What You Need to Know If You Believe Your Financial Advisor Is Stealing Your Money (1/3/2022)
Stockbroker Fraud: Can a Stock Broker Steal Your Money? (1/2/2022)
John Quinn, Formerly of Valic Financial Advisors, Suspended by FINRA Following Allegations of Participating in Private Securities Transactions Without Approval (12/31/2021)
Dennis Daniel Herrera, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (12/31/2021)
Joseph Augustien Lianzo, Broker with SW Financial, Suspended by FINRA Following Allegations of Failure to Supervise (12/31/2021)
Michele George Savarese, Broker with Client One Securities, Named in Multiple Customer Disputes Alleging Various Forms of Misconduct (12/31/2021)
Nicholas Fougler Taggart, Broker with IMST Distributors, Named in Customer Dispute Alleging Unsuitable Alternative Investment Recommendations (12/31/2021)
Brian Michael Jackson, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (12/31/2021)
Mark Sam Kolta, Formerly of Worden Capital Management, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (12/31/2021)
SEC Files Emergency Action to Shut Down Texas-Based Ponzi Scheme Operated by Marco “Sully” Perez (12/31/2021)
Bret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations (12/28/2021)
Paul Michael Fiacable, Formerly of JP Morgan, Facing Pending Customer Dispute Alleging Breach of Fiduciary Duty and Misappropriation of Funds (12/28/2021)
Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (12/28/2021)
Daniel Lawrence Pimental, Formerly of Wells Fargo, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (12/28/2021)
Devin Wicker, Formerly of JVB Financial Group, Barred by FINRA Following Allegations of Converting Customer Funds (12/28/2021)
SEC Charges Fusion Hotel Management, LLC and Founder Denny T. Bhakta with Operating Ponzi Scheme (12/28/2021)
Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Failure to Disclose Outstanding Federal Liens (12/21/2021)
James Lee Greene, Broker with B. Riley Wealth Management, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (12/20/2021)
Antonio Almeida, Formerly of Worden Capital Management, Suspended by FINRA Following Failure to Disclose a Felony Charge (12/20/2021)
Shay W. Scruggs, Broker for Rockefeller Financial, Facing Pending Customer Dispute Alleging Unsuitable Investments (12/20/2021)
Kenneth Anthony Luccioni, Formerly of Triad Advisors, Facing Three Pending Customer Disputes Alleging Unsuitable Investments (12/20/2021)
Voya Employees 401k Class Action Lawsuit Investigation (12/16/2021)
Wells Fargo Hit with $3M Fine Over Unit Investment Trusts (12/16/2021)
SEC Charges Former Illinois Investment Professional Ronald T. Molo with Fraud (12/13/2021)
Sonn Law Helps Secure $4M Award for Client of JP Morgan Broker Edward L. Turley (12/13/2021)
James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes (12/12/2021)
Daniel Lee Holman, Formerly of Cambridge Investment Research, Named in Customer Dispute Alleging Misrepresentation of Unsuitable Products (12/10/2021)
Frederick Mark Atiyeh, Broker with Crown Capital Securities, Facing Customer Disputes Alleging Overconcentration and Unsuitable Recommendations (12/10/2021)
James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes (12/10/2021)
Roland Terrence Molo, Formerly of Edward Jones, Suspended by FINRA Following Failure to Respond to Requests for Information (12/10/2021)
SEC Alleges That The Heartland Group Ventures, LLC is a $122M Ponzi-like Scheme (12/9/2021)
Jesus Rodriguez, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Provide Information (12/4/2021)
Joseph Michael Giordano, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise (12/3/2021)
Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise (12/2/2021)
Michael Paul Francoeur, Formerly of Cambridge Investment Research, Barred by FINRA Following Refusal to Provide Information (12/1/2021)
William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions (11/30/2021)
Business Development Corporation of America (BDCA) Investment Losses (11/30/2021)
Clara Tang, Formerly of Cetera Investment Services, Accused of Recommending Unsuitable Investments (11/29/2021)
SEC Charges Lina Maria Garcia of Miami-based UCB Financial Advisers with Running Cherry Picking Scheme (11/20/2021)
SEC Charges Joshua Burrell (Activated Capital, LLC) with $6.3M Securities Fraud (11/18/2021)
David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades (11/18/2021)
Arcadian New Venture LP Investment Losses (11/18/2021)
Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA (11/18/2021)
Adam Jeffrey Nash, Formerly of Pruco Securities, Accused of Failing to Provide Records (11/18/2021)
Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading (11/18/2021)
Abdul Matin Rahmani, Formerly of Joseph Stone Capital, Barred by FINRA Following Allegations of Undisclosed Outside Business Activities (11/18/2021)
SEC Charges New Jersey Claims Aggregator and Its Principals with Fraud (11/18/2021)
Michigan Financial Advisor Steven Muntin Charged by SEC with Fraud (11/18/2021)
SEC Charges John J. Woods (Horizon Private Equity, III, LLC) of Running Decade-Long, $110M Ponzi Scheme (11/17/2021)
Northstar Financial Services (Bermuda), Ltd. Investment Losses (11/11/2021)
Marc Korsch, Formerly of Arkadios Capital, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations (11/10/2021)
William Edward Torriente Jr., Formerly of Comerica Securities, Named in Customer Dispute Seeking $500k (11/10/2021)
Carl Damien Gill, Formerly of United Planners’ Financial Services of America, Facing Multiple Pending Customer Disputes (11/10/2021)
Paul Warren Vizanko, Formerly of Wells Fargo, Barred by FINRA Following Refusal to Respond to Information Request (11/10/2021)
SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients (11/10/2021)
Jeffrey Alan Kiensnoski, Broker with Concorde Investment Services, Named in Customer Dispute Seeking $1M in Damages (11/10/2021)
Epitome Investment Fund Investment Losses (11/8/2021)
SEC Accuses AlphaPlus Portfolio Recovery Corp. Principals of Stealing $40M from Settlement Funds for Harmed Investors (11/8/2021)
James Seijas, Formerly of Wells Fargo, Accused of Defrauding Investors in Alleged Ponzi Scheme (11/8/2021)
SEC Accuses BNZ One Capital Principals of Operating $13.5 Million Ponzi-Like Scheme (11/1/2021)
SEC Obtains Final Judgment Against Investment Professional Marcus Boggs (10/29/2021)
Sarah Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages (10/29/2021)
SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients (10/29/2021)
SEC Charges Ann Vick, Colorado Investment Adviser, with Fraud (10/29/2021)
NJ Financial Advisor Kenneth Welsh Accused of Fleecing Clients of $2.86M (10/29/2021)
Kevin Anthony Butler, Broker with Morgan Stanley, Named in Customer Dispute Seeking $1.5M in Damages (10/27/2021)
Jon Peter Lindberg, Formerly of ProEquities, Inc., Named in Two Pending Regulatory Disputes (10/27/2021)
Marcus Angelo Beasley, Formerly of Supreme Alliance, Barred by FINRA Following Allegations of Offering Unregistered Securities (10/27/2021)
Xiao Qin Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages (10/27/2021)
Marc Augustus Reda, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Churning in Customer Accounts (10/27/2021)
Hillstone Capital LLC Investment Losses (10/27/2021)
Kevin Carey Doyle, Formerly of Raymond James & Associates, Censured by Oklahoma Department of Securities (10/22/2021)
Roy Joseph Failla, Broker with Arive Capital Markets, Named in Customer Dispute Alleging Unsuitable Recommendations (10/22/2021)
Scott Robert Rahn, Formerly of LPL Financial, Target of Investigation Concerning Unsuitable Trades (10/22/2021)
Edgar Kleydman, Formerly of MML Investors Services, Barred by FINRA Following Refusal to Appear for Testimony (10/22/2021)
Jamie John Worden, Formerly of Worden Capital Management, Barred by FINRA Following Refusal to Produce Information (10/22/2021)
James Wightman Wilcox, Broker with First Republic Securities, Named in Customer Disputes Alleging Unsuitable Investment Allegations (10/18/2021)
Nicholas R. Palumbo, Formerly of Park Avenue Securities, Barred by FINRA Following Refusal to Produce Information (10/18/2021)
Louis Martin Wargo, Broker with FSC Securities, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (10/18/2021)
SEC Accuses Sky Group USA and CEO Efrain Betancourt, Jr. of Operating $66M Promissory Note Scam (10/12/2021)
Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement (10/12/2021)
Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients (10/12/2021)
Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony (10/12/2021)
Department of Justice Charges Chicago Trader Keith Wakefield with Securities Fraud (10/7/2021)
Alan Harold New, Formerly of NYLife Securities, Barred by FINRA Following Refusal to Provide Documents and Information (10/7/2021)
Barry Steven Snyder, Formerly of Snowden Account Services, Named in Customer Dispute Seeking $500k in Damages (10/7/2021)
SEC Charges TCFG Investment Advisors, Affiliated Broker-Dealer and Its President Alleging Materially False and Misleading Statements (10/7/2021)
SEC Accuses Ron K. Harrison of Global Trading Institute, LLC of Ongoing Investment Advisory Fraud (10/6/2021)
Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act (10/5/2021)
Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients (10/5/2021)
Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages (10/5/2021)
Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (10/3/2021)
SEC Charges Back to Green Mining, LLC, and Managing Members with Fraud (9/30/2021)
Missouri-Based Investment Adviser Buttonwood Financial Group Accused of Investing Clients in Higher Cost Mutual Funds to Avoid Transaction Fees (9/30/2021)
Conservation Easement Investment Losses (9/30/2021)
Biscayne Capital Owners Indicted, Accused of Operating $155 Million Investment Fraud (9/27/2021)
Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months (9/20/2021)
Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages (9/20/2021)
Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (9/20/2021)
Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information (9/20/2021)
Christopher George Orlando, Formerly of Spartan Capital Securities, Barred by FINRA Following Allegations of Excessive Trading (9/20/2021)
Alfonse Joseph Stazzone, Formerly of Monmouth Capital Management, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (9/20/2021)
Investors in Million Dollar Ponzi Scheme Collaborate for Maximum Recovery (9/20/2021)
Joseph Whitney, Formerly of UBS Financial Services, Denied Registration by New Jersey Bureau of Securities (9/20/2021)
Robert Henderson Jr., Broker with San Blas Securities, Suspended by FINRA for 13 Months (9/20/2021)
Thomas Ward Stratton, Formerly of World Choice Securities, Barred by FINRA Following Investigation into Misuse of Customer Funds (9/20/2021)
Class Action: Charles Schwab Intelligent Portfolio (9/17/2021)
WSJ: Ex-Broker Ordered to Pay Former NBA Player $2M (9/13/2021)
ElectroCore, Inc. Investment Losses (9/9/2021)
SEC Charges Mississippi Company and Its Principal with Operating a Ponzi Scheme (9/9/2021)
SEC Charges Minnesota Couple with Operating $18 Million Ponzi Scheme (9/9/2021)
Sonn Law Group Says Accused Ponzi Schemer Larry Ramos Mendoza Has Escaped House Arrest Pending Charges in Ponzi Scheme Case (9/3/2021)
Former Morgan Stanley Broker Sues Firm Over Deferred Compensation Denial (8/26/2021)
SEC Charges Robert J. Mueller of deeproot funds LLC with Operating $58M Ponzi Scheme (8/24/2021)
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 Ponzi Scheme (8/15/2021)
Monarch Capital Investment Fund, LLC Ordered to Cease and Desist by Missouri Securities Division (8/12/2021)
Mine Shaft Brewing and its Principals Charged by SEC with Fraud (8/12/2021)
George Heckler, Unregistered Investment Adviser, Charged by SEC with Misleading Investors (8/12/2021)
Daniel James O’Neill, Formerly of NYLife Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (8/12/2021)
SEC Charges Florida-Based Company, The Republic Group, with Defrauding Investors (8/12/2021)
Geoffrey Thompson Charged by SEC with Selling Unregistered Securities (8/12/2021)
Narith Long, Formerly of NYLife Securities, Named in Customer Dispute Alleging Unauthorized Securities Transactions and Unsuitable Recommendations (8/12/2021)
Boeing Employees’ Credit Union Wrongful Overdraft Fees (8/12/2021)
TD Bank Wrongful Overdraft Fees (8/12/2021)
Sonn Law Group Investigating Stallion Real Estate Funds (8/5/2021)
Medley Management Investment Losses (7/28/2021)
Joseph Michael Fedorko, Jr., Broker with Laidlaw & Co. (UK), Named in Customer Dispute Alleging Churning and Unauthorized Trading (7/28/2021)
Samuel Mancini, Colorado Fund Manager and CEO, Charged with Securities Fraud, Wire Fraud, and Money Laundering (7/28/2021)
Oatly Group AB Investment Losses (7/28/2021)
Kenric Lamont Sexton, Formerly of Wells Fargo, Suspended by FINRA Due to Allegations of Misrepresentations on a Loan Application (7/28/2021)
Henry Chia-How Chang, Broker with Laidlaw & Company (UK), Named in Customer Dispute Alleging Selling Away (7/23/2021)
Patrick William Naughton, Broker with LPL, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
Mark Allen Upchurch, Formerly of Centaurus Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
Michael Frank Paesano, Formerly of Morgan Stanley, Named in Three Pending Customer Disputes Alleging Excessive Trading (7/23/2021)
NEXT Financial Consents to $750K FINRA Penalty for Sales Violations (7/23/2021)
Commonwealth Financial Network Complaints: Information for Investors (7/20/2021)
Securities America Advisors Ordered to Pay $1.75 Civil Penalty for Failing to Protect Clients from Ponzi Scheme (7/19/2021)
Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations (7/19/2021)
David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (7/19/2021)
Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages (7/19/2021)
Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds (7/19/2021)
Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year (7/19/2021)
John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information (7/19/2021)
Wells Fargo Advisors Complaints: Information for Investors (7/16/2021)
AXA Advisors Complaints: Information for Investors (7/16/2021)
TD Ameritrade Complaints: Information for Investors (7/15/2021)
Woodbridge Ponzi Scheme Class Action Update: Plaintiffs File Motion for Class Certification (7/15/2021)
Park Avenue Securities Complaints: Information for Investors (7/14/2021)
Sonn Law Says that the Banks Who Advised the Puerto Rico Government to Issue Bonds should pay the Nearly $1 Billion in Legal Fees Charged By Attorneys and Professionals to Restructure Puerto Rico’s Debt (7/14/2021)
Philip Donald Beviano, Broker with Signature Securities, Named in Multiple Pending Customer Disputes Alleging Misrepresentations (7/7/2021)
Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct (7/7/2021)
Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty (7/7/2021)
Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (7/7/2021)
Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes (7/7/2021)
Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations (7/7/2021)
Benefit Street Partners REIT Investment Losses (7/7/2021)
Prestige Equity Ordered to Cease and Desist Operations; Accused of Being a Fraudulent Investment Scheme (7/7/2021)
Did You Suffer Losses Investing with Gregory Paris of Barrington Asset Management, Inc.? (7/6/2021)
Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information (7/6/2021)
Investigation: Banks Charging Excessive ATM Fees without Adeqaute Disclosure (7/2/2021)
Investigation: MR (Mark Ray) Cattle, Accused Ponzi Scheme (7/2/2021)
Investigation: Champlain Towers South Complex in Surfside, Florida (7/2/2021)
Brokerage Firm Review: HD Vest Financial Services (7/1/2021)
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)
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)