Craig Siegel was suspended by FINRA in April 2019 after failing to respond to FINRA’s request for information.
The Sonn Law Group is investigating allegations that Craig Siegel committed misconduct. Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct or negligence and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.
Craig Siegel (CRD#:5759415), former financial advisor out of New York, was suspended by FINRA in April 2019 following his refusal to provide FINRA with more information as requested.
According to his BrokerCheck report, Siegel has four customer disputes alleging the following:
- October 2018 — Claimant alleged unsuitable investment recommendations, breach of regulatory requirements, breach of fiduciary duty, breach of contract, negligence and gross negligence, and churning. (Pending)
- April 2018 — Claimant alleged excessive trading, churning, unsuitable transactions, failure to supervise, and respondeat superior. (Pending)
- August 2016 — Claimant alleged unsuitable recommendations, unsuitable concentration, breach of fiduciary duty, breach of contract, material misrepresentation/omission, negligence, respondeat superior, and failure to supervise. (Pending)
- February 2016 — Claimant alleged churning, unsuitability, breach of fiduciary duty, federal securities fraud, engaging in unauthorized trades, common law fraud, and negligent supervision. (Settled for $20,000)
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional committed acts in violation of FINRA Rules, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.