John C. MacColl (CRD#: 839441) is a former broker and registered investment adviser (RIA). From 2006 to 2018, Mr. Maccoll was employed at UBS Financial[…]
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (commonly referred to as the SEC) is a government agency whose mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. When investment advisors, stockbrokers, and investment firms violate SEC rules, the investors who rely on those entities to handle their funds in a responsible and ethical manner often sustain significant losses.
If your advisor or investment firm has been charged with violating SEC rules, contact our SEC attorneys today for a free consultation: 305.912.3000.
Larry Werbel (CRD#: 828351) was formerly registered as a FINRA broker and a registered investment advisor (RIA). In 2015 and 2016, Mr. Werbel was associated[…]
Edward Lee Moody (IARD# 116475) is an investment advisor based in Virginia Beach, Virginia. Most recently, Mr. Moody was associated with CM Capital Management. Notably,[…]
La Croix, a prominent American sparkling water brand, has seen massive growth in popularity over the last several years. However, recently, information was released that[…]
According to reporting from Bank Investment Consultant (BIC), a retired worker has filed a $330,000 investment fraud lawsuit against a financial advisor in Cobb County,[…]
Jeffrey A. Laberge (CRD#: 4847129) is a formerly registered securities broker. Mr. Laberge was most recently employed at WFG Investments, Inc. (2009-2013) and Securities America,[…]
Ryan N. Bowers (CRD#: 3237368) is a previously registered broker and investment advisor. Most recently, Mr. Bowers was a securities representative for WFG Investments in[…]
Madyson Capital Management is a real estate investment firm based in Denver, Colorado. As the company informed actual and prospective investors through its required Securities[…]
Investment and securities fraud is a serious issue in the United States. At Sonn Law Group, our dedicated SEC lawyers are committed to fighting for[…]
Do Victims of Financial Fraud Need to Work with a Securities Attorney? If you’ve suffered significant investment losses as the result of securities fraud you[…]