Shah is accused of engaging in undisclosed and unapproved private securities transactions in the amount of $408,000.00 The Sonn Law Group is investigating allegations that[...]
Broker / Advisor Investigations
Tucker is accused of selling securities without being registered, failing to disclose outside business activity, and failure to observe high standards of commercial honor. The[...]
Whittaker agreed to a six-month suspension and $5K fine in connection with the allegations. The Sonn Law Group is investigating allegations that Stephen Whittaker engaged[...]
Meyer agreed to a three-month suspension and FINRA findings stating that he caused customers significant losses. The Sonn Law Group is investigating allegations that Robert[...]
Bell is accused of recommending unsuitable investments and over-concentration. The Sonn Law Group is investigating allegations that Michael Bell recommended unsuitable investments and over-concentrated accounts.[...]
Franks refused to produce information or documents FINRA requested in connection with its investigation into his alleged misconduct. The Sonn Law Group is investigating allegations[...]
Maines allegedly exercised discretion in customer accounts without written authorization. The Sonn Law Group is investigating allegations that Nina Maines made unauthorized discretionary trades. If[...]
The Nebraska advisor is accused of engaging in a cherry-picking scheme that defrauded his clients. The Sonn Law Group is investigating allegations that Corbin Lambert[...]
Lindner and its owner are accused of making false statements to the SEC and failing to properly implement compliance policies and procedures. The Sonn Law[...]
Zabala is accused of defrauding investors in his company. The Sonn Law Group is investigating allegations that Craig Zabala defrauded investors. If you or a[...]