The SEC fined Sigma Planning, a Michigan-based RIA, over alleged failures to disclose 12b-1 mutual fund fees. The Sonn Law Group is investigating claims that Sigma[...]
Broker / Advisor Investigations
Subsequent to his termination by LPL Financial, Christopher Neil Watkins received a customer complaint for “unsuitable investments.” The Sonn Law Group is investigating claims that[...]
Former broker Scott Gunnip consented to sanctions and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in[...]
Former broker Christopher Fulco has been barred by FINRA and charged by the SEC with swindling investors out of at least $1.6 million and using[...]
Cambridge Capital Group Advisors, LLC, its president Phillip Howard, and former registered investment adviser Don Reinhard have been charged with defrauding investors in two proprietary[...]
FINRA awarded a former client $3 million in damages for investment losses due to failure to supervise its broker, David Blisk. The Sonn Law Group is[...]
Kalos Capital accepted FINRA sanctions following allegations of failure to supervise and train their sole registered representative in order to comply with FINRA Rules and[...]
Lyons was barred by FINRA in 2018 after accepting sanctions based on an investigation by FINRA on behalf of 39 former customers who alleged that[...]
FINRA filed a complaint against Halil Kozi charging him with churning a customer’s account and excessively trading in that customer’s account while associated with PHX[...]
Shepherd, Smith, Edwards & Kantas filed a lawsuit agains Kalos for pushing clients into private placements, most noteably GPB Capital. The Sonn Law Group is investigating[...]