Sonn Law Group is currently investigating potential legal claims involving Joseph Kocsis (CRD# 2423884), a registered broker with Great Point Capital LLC. According to his[...]
Broker / Advisor Investigations
A recently disclosed customer dispute alleges that Edward Villanyi liquidated a client’s investment without authorization and used the proceeds to purchase mutual funds. Unauthorized trading[...]
Sonn Law Group is investigating potential claims of broker misconduct involving James Cox (CRD# 2365633). Currently associated with Newbridge Securities Corporation in Boca Raton, Florida,[...]
Did you suffer investment losses due to recommendations by Wedbush Securities Inc. broker Raymond Chow (CRD# 2860124)? Sonn Law Group is currently reviewing disclosures and[...]
Borrowing money from a customer is one of the most tightly restricted activities in the securities industry, given the conflicts and supervisory risks it creates.[...]
Recent regulatory and customer dispute developments involving Patrick Alexander Moriarty (CRD #4764378) have raised concerns about client authorization, supervision and internal compliance controls at major[...]
The Financial Industry Regulatory Authority (FINRA) has sanctioned former LPL Financial broker Kyle Ray Critcher (CRD #7351555) after finding he negligently misrepresented the nature of[...]
Key Takeaways What It Means to Sue a Stockbroker Suing a stockbroker means bringing a legal claim against an individual broker, financial advisor or brokerage[...]
Early redemptions of Unit Investment Trusts can significantly increase investor costs, particularly when proceeds are rolled into new products that carry additional sales charges. A[...]
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action against David J. Taddeo (CRD #1163829), a former broker associated with LPL Financial. According to[...]