Jaimie Worden, founder of Worden Capital, was also named in the letter. The Sonn Law Group is investigating allegations that Jamie John Worden committed misconduct.[...]
Broker / Advisor Investigations
Pratt is accused of negligence, breach of fiduciary duty, and other law violations. The Sonn Law Group is investigating allegations that Joseph Hershey Pratt committed[...]
Weith is accused of recommending an unsuitable financial plan to a customer. The Sonn Law Group is investigating allegations that Herbert Weith IV recommended unsuitable[...]
Howarter is accused of recommending unsuitable investments and negligence, among other forms of misconduct. The Sonn Law Group is investigating allegations that Lanny Howarter committed[...]
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[...]
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[...]