Shore is accused of recommending unsuitable short-term trading of unit investment trusts. The Sonn Law Group is investigating allegations that Ivan Shore recommended unsuitable investments.[...]
Oppenheimer & Co.
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Mishne is accused of breach of fiduciary duty, unsuitable recommendations, and fraud. The Sonn Law Group is investigating allegations that Ernest Mishne committed misconduct. If[...]
Industry regulator FINRA has barred broker Keith Malicki from acting as a broker or associating with any broker-dealer firms. The broker refused to appear for[...]
Oppenheimer & CO. Inc (CRD#: 249) is a registered brokerage firm based in New York, New York. This firm is currently registered to operate in[...]
Sonn Law Group is investigating claims regarding Royce Oliver Simpson (CRD #1403356, Seabrook, Texas). Simpson recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”)[...]
Sonn Law Group is investigating claims regarding Perry Stephen Abbonizio (CRD #2787112, Worcester, Pennsylvania). Abbonizio recently submitted an AWC in which he was assessed a[...]
The Securities and Exchange Commission recently announced charges against Oppenheimer & Co. for violating federal securities laws by improperly selling penny stocks in unregistered offerings[...]
The Securities and Exchange Commission recently sanctioned 13 firms for violating a rule intended to protect retail investors in the municipal securities market. The SEC[...]
Sonn Law Group is investigating claims regarding former Registered Principal Mark Christopher Hotton (CRD #2346843, West Islip, New York), who has been barred from association[...]
FINRA has filed a complaint against Jeremy Gerald Tintle (CRD #2817173, Registered Representative, Atlanta, Georgia) alleging that he participated in a private securities transaction outside[...]