If you’ve suffered significant investment losses as the result of your broker violating FINRA rules, you should speak with a FINRA arbitration lawyer about your[…]
FINRA
If you’re considering speaking with an investment fraud lawyer about recovering losses, here are a few things you should know about Sonn Law Group: We[…]
If you’ve suffered significant losses in your investment accounts you might be wondering whether you can sue your financial advisor to recover your losses. Can[…]
If you’re considering filing a complaint against your financial advisor it’s important that you have a clear understanding of the general process. As a registered[…]
Brian Lawrence Stephan (CRD#: 4222796) is a registered broker based in Xenia, Ohio. Since December of 2017, Mr. Stephan has been employed at American Wealth[…]
Lloyd Thomas Layton (CRD#: 1618414) is a registered broker and investment advisor. Since 2015, Mr. Layton has been employed at Wells Fargo Clearing Services in[…]
In July, Edward Jones (CRD#: 250), a large brokerage firm based in St. Louis, MO, fired two of its brokers following allegations of elder financial[…]
Recently, two former UBS Financial Services brokers, Alex Herrera (CRD#: 3204779) and John Maccoll (CRD#: 839441), have been barred by FINRA. Mr. Herrera, who worked[…]
Patrick Jermaine Phillips (CRD#: 4315963) was previously registered as a broker and investment advisor. In 2016, Mr. Phillips was employed at MSI Financial Services in[…]
John Schmidt (CRD#: 708094) is a previously registered broker and investment advisor. From 2006 to 2017, Mr. Schmidt was employed at Wells Fargo Advisors Financial[…]