A disciplinary complaint filed by the Financial Industry Regulatory Authority (FINRA) has raised significant regulatory concerns involving Boustead Securities, LLC, Sutter Securities Incorporated, and former[...]
Broker / Advisor Investigations
According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Shabri G. Moore (CRD# 2894381), a financial professional formerly registered with[...]
According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Harold Reinstein (CRD# 2516822), a securities broker who was formerly associated[...]
According to publicly available FINRA BrokerCheck (https://brokercheck.finra.org/) records, Sonn Law Group is reviewing disclosures involving Walter Nelson (CRD# 2275929), a securities broker who was formerly[...]
Did you lose money investing with Emerson Equity LLC broker Thomas Justice (CRD# 2786145)? Sonn Law Group is currently investigating potential claims involving Mr. Justice regarding allegations of[...]
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[...]
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.[...]