Colorado Brokerage Firm Spencer Edwards, Inc. Charged with Suitability and Selling Away Violations The Sonn Law Group is currently investigating broker Spencer Edwards, owner of[…]
Selling Away
The Sonn Law Group is investigating allegations involving broker Charles Cumber (Broker CRD Number: 2514669). Mr. Cumber was fired by Wells Fargo in February after[…]
What is Selling Away? Selling away occurs when a broker inappropriately sells securities that are not offered or overseen by their member brokerage firm. In[…]
The Sonn Law Group is happy to announce a $11.2M FINRA arbitration award on behalf of our clients Dr. Nasirdin Madhany and Zeenat Madhany. The[…]
This article was originally published by InvestmentNews.com. The Financial Industry Regulatory Authority Inc. has requested comments as part of a review of its rules that[…]
This is an excerpt from FINRA’s Quarterly Disciplinary Review, January 2017 FINRA settled a matter involving a registered representative who participated in private securities transactions[…]