Search Results for: andy chase

Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments

Jeffrey Sonn
Jan 14, 2021

The client is seeking over $100k in damages for Birkinbine’s alleged misconduct. The Sonn Law Group is investigating allegations that Randy Birkinbine made unsuitable investment[...]

Thomas Brian Swan, Broker with Western International Securities, Charged by SEC Under Regulation Best Interest for Recommending Unsuitable Investment Recommendations in GWG-L Bonds

Jeffrey Sonn
Feb 26, 2023

INVESTORS: Western International Securities broker Thomas Brian Swan was charged by the SEC for violating Regulation Best Interest in connection with recommendations to purchase GWG-L[...]