Frederick Stow was terminated from his position in May 2019 following accusations that he misappropriated funds from customer accounts. The Sonn Law Group is investigating[...]
Broker / Advisor Investigations
Forte and Lawrence allegedly churned accounts of an elderly client suffering from dementia. The Sonn Law Group is investigating Ami Forte and Charles Lawrence based[...]
Dennis Mehringer Jr. refused to appear for testimony as requested by FINRA when it began an investigation into possible misconduct. The Sonn Law Group is[...]
Wallachbeth Capital allegedly failed to maintain policies to prevent misconduct. The Sonn Law Group is investigating allegations against Wallachbeth Capital for failing to properly maintain[...]
Charles Bridgers is facing allegations that he entered two municipal-securities transactions without customer authorization. The Sonn Law Group is investigating allegations that Charles Bridgers made[...]
Mark Cramer is facing allegations of forging a client’s signature on a variable annuity application. The Sonn Law Group is investigating allegations that Mark Cramer[...]
Two different claimants are seeking a combined $1.5 million in retirement savings and trust proceeds. The Sonn Law Group is investigating allegations that Crystal Bay[...]
Taylor Capital Management and Triloma Securities set to close for different reasons. The Sonn Law Group is investigating allegations into Taylor Capital Management. Under FINRA[...]
Jamie Westenbarger, Formerly of Securities America, Barred by FINRA for Borrowing Funds from Clients
Jamie Westenbarger is facing allegations that he received a $60,000 from a client. The Sonn Law Group is investigating allegations that Erlloisse Magan committed misconduct. Under[...]
Erlloisse Magan is facing allegations that she engaged in activities with a TD Ameritrade client without prior written notice given to the firm. The Sonn Law[...]