INVESTORS: Former Kestra Investment Services broker Herman Laibe Kahn is facing a customer dispute alleging misrepresentation and unsuitable investment recommendations. Herman Laibe Kahn (CRD#: 1866522)[...]
Broker / Advisor Investigations
INVESTORS: Kalos Capital broker David Scott Mirolli was named in multiple customer disputes alleging unsuitable investment recommendations related to GPB Capital Holdings. David Scott Mirolli[...]
INVESTORS: Former Dempsey Lord Smith broker Joseph Patrick Roop is facing a customer dispute alleging improper recommendations and suitability issues. Joseph Patrick Roop (CRD#: 2774470)[...]
INVESTORS: Madison Avenue Securities broker Stephen Yauman Kwan is facing pending customer disputes alleging unsuitable recommendations of GPB Capital investments. Stephen Yauman Kwan (CRD#: 3183681)[...]
INVESTORS: UBS Financial Services broker Jeffrey Adam Miller is facing a pending customer dispute alleging that he recommended an unsuitable concentration of gold and silver[...]
INVESTORS: Former SW Financial broker John Sebastion Cangialosi is facing a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, and[...]
INVESTORS: Wells Fargo broker Thomas Wilson Murray is facing a pending customer dispute alleging that he solicited an outside investment opportunity that was not authorized[...]
In December of 2021 our firm helped secure a $4M award for Lacey Winston Keath who was a victim of unauthorized trading of unsuitable securities[...]
This article was originally published in October of 2021. It was most recently updated on August 26, 2022. Sonn Law Group – a law firm[...]
INVESTORS: Calton & Associates broker Michael James Petyak is facing a pending customer dispute alleging a lack of diversification. Michael James Petyak (CRD#: 2976602) is[...]