The SEC alleges that unlawful gains in the amount of over $21 million occurred due to the firm’s misconduct. The Sonn Law Group is investigating[...]
Broker / Advisor Investigations
Yvonne Silguero is facing multiple allegations stemming from activity between July 2014 and October 2018. The Sonn Law Group is investigating allegations that Yvonne Silguero committed[...]
Rob Burns is facing allegations of overconcentration and recommending unsuitable investments in alternative products. The Sonn Law Group is investigating allegations that Rob Burns committed[...]
Maureen Scalzo refused to participate in FINRA’s investigation into possible alteration or falsification of customer forms she submitted. The Sonn Law Group is investigating allegations[...]
Stephen Klinger allegedly deposited client funds into his own account to trade options, which resulted in a loss of all of the client’s funds. The Sonn[...]
Michael D’Aquila consented to findings stating he was terminated for misconduct related to his personal bank accounts and failure to be forthcoming during the firm’s[...]
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[...]
William Davis is facing allegations that he recommended prohibited securities and mislabeled trades in order to evade firm restrictions. The Sonn Law Group is investigating[...]
Michael Olinde is facing allegations that he sold nutritional supplements without providing prior written notice to his member firm, LPL Financial. The Sonn Law Group[...]
The non-traded real estate investment trust is one of the latest non-traded REITs to experience financial difficulties and announce suspension of dividends. The Sonn Law[...]