Stevens is accused of common law fraud, breach of fiduciary duty, negligence, and breach of contract. The Sonn Law Group is investigating allegations that Charles[...]
Broker / Advisor Investigations
Nicholas Palumbo, Formerly of Park Avenue Securities, Under Investigation for Alleged “Selling Away”
Palumbo was permitted to resign from Park Avenue Securities while under investigation by the firm. The Sonn Law Group is investigating allegations that Nicholas Palumbo[...]
The customer alleged Jackman recommended illiquid products that were not unsuitable. The Sonn Law Group is investigating allegations that Rich Jackman recommended unsuitable investments. If[...]
The customer alleged that Fernando made seven unsuitable transactions between March 2014 and November 2017. The Sonn Law Group is investigating allegations that Gihan Anil[...]
The customer alleges that Fross failed to follow instructions between March and August of 2020. The Sonn Law Group is investigating allegations that Thomas Fross[...]
Kenahan was previously accused of unsuitable investment recommendations, unauthorized trading, and excessive trading. The Sonn Law Group is investigating allegations that Charles E. Kenahan committed[...]
Kafkes was previously named in a customer dispute alleging unsuitable recommendations and agreed to a settlement. The Sonn Law Group is investigating allegations that Angelo[...]
Newport Coast Securities has since been expelled by FINRA. The Sonn Law Group is investigating allegations that Gregory McCloskey committed misconduct. If you or a[...]
Bryan Mazliach, Formerly of Westpark Capital, Facing Allegations of Excessive and Unsuitable Trading
Mazliach was named in a FINRA complaint alleging that he committed misconduct. The Sonn Law Group is investigating allegations that Bryan Mazliach made excessive and[...]
Schmitz is also facing a customer dispute alleging unsuitable investment recommendations and violation of state and federal securities laws. The Sonn Law Group is investigating[...]