Broker / Advisor Investigations
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Miami-based financial advisor Patricia P. Holder (CRD# 2894768) is currently defending a pending FINRA arbitration claim alleging unsuitable investment recommendations and violations of Regulation Best[...]
When investors experience significant losses, they must often determine whether those losses were due to market volatility or to a failure of professional conduct. Publicly[...]
A disciplinary complaint filed by the Financial Industry Regulatory Authority (FINRA) has raised significant regulatory concerns involving Boustead Securities, LLC, Sutter Securities Incorporated, and former[...]
According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Shabri G. Moore (CRD# 2894381), a financial professional formerly registered with[...]
According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Harold Reinstein (CRD# 2516822), a securities broker who was formerly associated[...]
According to publicly available FINRA BrokerCheck (https://brokercheck.finra.org/) records, Sonn Law Group is reviewing disclosures involving Walter Nelson (CRD# 2275929), a securities broker who was formerly[...]
Did you lose money investing with Emerson Equity LLC broker Thomas Justice (CRD# 2786145)? Sonn Law Group is currently investigating potential claims involving Mr. Justice regarding allegations of[...]