David Jose Lugo is the subject of numerous customer complaints, many of which are still pending. The Sonn Law Group is investigating allegations that David Jose[...]
Broker / Advisor Investigations
GPB Capital is facing allegations that it used money from new investors to pay older investors. The Sonn Law Group is investigating allegations that GPB[...]
David Ferwerda was being investigated by FINRA for participation in sales of notes related to a group of unregistered investment companies The Sonn Law Group[...]
Greg McKinney failed to comply with FINRA’s requests for information and documents relevant to its investigation into his activities. The Sonn Law Group is investigating[...]
The AIG subsidiary specializes in retirement plans for schools, colleges, and not-for-profit organizations. The Sonn Law Group is investigating allegations that Variable Annuity Life Insurance[...]
Christopher Kozak consented to sanctions including a six-month suspension from associating with any FINRA member firm and a $10,000 fine. The Sonn Law Group is investigating[...]
Paul Smith is facing allegations from numerous investors that he conducted a fraudulent scheme. The Sonn Law Group is investigating allegations that Paul Wescoe Smith[...]
Kim Kopacka allegedly enabled her husband, who was barred by FINRA 20 years ago, to continue doing securities transactions from 2002 to 2016. The Sonn Law[...]
Trevor Rahn was terminated by JP Morgan in 2018 following two settled customer disputes. The Sonn Law Group is investigating allegations that Trevor Rahn committed[...]
Alan Appelbaum was named in a dispute seeking $1.8 million in damages for alleged unsuitable investment recommendations. The Sonn Law Group is investigating allegations that[...]