Shaw was also barred by the State of Washington Securities Division in April 2019. The Sonn Law Group is investigating allegations that Brendan Shaw made[...]
Broker / Advisor Investigations
The clients allege that Esses fraudulently transferred over $2M from his client’s accounts. The Sonn Law Group is investigating allegations that Tony Esses committed fraud.[...]
FINRA claimed to be investigating Fernan after reviewing a customer complaint filed against him. The Sonn Law Group is investigating allegations that Christopher Fernan committed[...]
FINRA accused Baily of engaging in undisclosed and unapproved private securities transactions. The Sonn Law Group is investigating allegations that Troy Baily committed misconduct. If[...]
Geary was also accused of failing to amend his Form U4 to disclose three tax liens. The Sonn Law Group is investigating allegations that John[...]
Nelson was also accused of providing false statements to FINRA in response to their investigation into Nelson’s misconduct. The Sonn Law Group is investigating allegations[...]
Ferguson has been named in multiple customer disputes over the span of his 26-year career. The Sonn Law Group is investigating allegations that Rodney Ferguson[...]
Chu currently has two pending customer disputes. The Sonn Law Group is investigating allegations that Joseph Chu made unsuitable investment recommendations. If you or a[...]
Freeze was accused of selling away by a majority of the former clients. The Sonn Law Group is investigating allegations that Jonathan Freeze committed misconduct.[...]
The 2020 customer disputes allege the misconduct between July of 2014 and December of 2016. The Sonn Law Group is investigating allegations that Morgan Stanley[...]