FINRA requested information and documents relating to Raskin’s discharge from Merrill Lynch in 2019. Ryan Raskin (CRD#: 5539610) was registered as a broker with Merrill[...]
Broker / Advisor Investigations
The claimants are seeking over $295K collectively for Zupek’s misconduct. The Sonn Law Group is investigating allegations that David Zupek committed misconduct. If you or[...]
The client is seeking over $237K in damages for Lemay’s misconduct. The Sonn Law Group is investigating allegations that Barry Lemay made unsuitable investment recommendations.[...]
The client is seeking $200K in damages for Ecker’s misconduct. The Sonn Law Group is investigating allegations that Michael Ecker made unsuitable investment recommendations. If[...]
The client is seeking over $100k in damages for Birkinbine’s alleged misconduct. The Sonn Law Group is investigating allegations that Randy Birkinbine made unsuitable investment[...]
Bardeche is suspended for a period of nine months and ordered to pay a fine of $10,000. The Sonn Law Group is investigating allegations that[...]
The former clients are seeking over $500k in damages, collectively. The Sonn Law Group is investigating allegations that James McPherson made unsuitable investment recommendations. If[...]
The former client accused Esplin of making unsuitable recommendations in alternative investments. The Sonn Law Group is investigating allegations that Gene Esplin made unsuitable investment[...]
The client is seeking over $200k in damages for Schorr’s alleged misconduct. The Sonn Law Group is investigating allegations that Gretchen Schorr recommended unsuitable investments.[...]
FINRA’s complaint alleges that Poff failed to inform his firm of the outside business activities. The Sonn Law Group is investigating allegations that Jason Howell[...]