Broker / Advisor Investigations

Chu was barred by FINRA in 2019 for failing to respond to a request for information. The Sonn Law Group is investigating allegations that Felix[...]

Nekuza is accused of charging personal expenses to his firm credit card. The Sonn Law Group is investigating allegations that Matthew Nekuza committed misconduct. If[...]

Shore is accused of recommending unsuitable short-term trading of unit investment trusts.  The Sonn Law Group is investigating allegations that Ivan Shore recommended unsuitable investments.[...]

Running denies the allegations against him and the dispute remains pending.  The Sonn Law Group is investigating allegations that Royce Running recommended unsuitable investments. If[...]

Fretz has been the subject of two settled customer disputes in the past year alleging unsuitable investment recommendations. The Sonn Law Group is investigating allegations[...]

FINRA was investigating allegations that Husby served as a power of attorney and co-owned a bank account with an elderly customer. The Sonn Law Group[...]

Tolmacs has been named in 12 customer disputes over the span of his career as a broker. The Sonn Law Group is investigating allegations that[...]

Rogas was charged with raising $123 million in fraudulent offerings. The Sonn Law Group is investigating the 2020 offering from NS8 that raised $73  million[...]

Seelye, a Minnesota resident, is a call center manager and was charged with conspiracy to commit mail and wire fraud. The Sonn Law Group is[...]

Willy was ordered to return $2.75M in commissions to whom she sold alternative investments. The Sonn Law Group is investigating allegations that Brooklynn Chandler Willy[...]