Catoggio faced allegations that he failed to implement a compliance program designed to detect and report suspicious activity. The Sonn Law Group is investigating allegations[...]
Broker / Advisor Investigations
Northwestern Mutual was fined $350k for failing to prevent Pearson from transferring client funds into his personal account. The Sonn Law Group is investigating allegations[...]
The customer is seeking $400K in damages for Nevin’s alleged misconduct. The Sonn Law Group is investigating allegations that Kevin Nevin made unsuitable investment recommendations.[...]
Kelton allegedly made investment recommendations that were unsuitable for the client. The Sonn Law Group is investigating allegations that Richard Kelton made unsuitable investment recommendations.[...]
One customer is seeking $600k in damages based on allegations Makharia over concentrated her portfolio. The Sonn Law Group is investigating allegations that Atul Makharia[...]
Haywood has four pending customer disputes currently seeking over $800k in damages combined. The Sonn Law Group is investigating allegations that Dennis Haywood II made[...]
Venturelli consented to a $30k fine and an 11-month suspension. The Sonn Law Group is investigating allegations that Frank Venturelli engaged in excessive trading. If[...]
Bowers was barred by the SEC in July 2017. The Sonn Law Group is investigating allegations that Ryan Bowers committed misconduct. If you or a[...]
Jackson has been accused on multiple occasions of recommending unsuitable investments. The Sonn Law Group is investigating allegations that Ralph Jackson made unsuitable investment recommendations.[...]
Mehringer was barred by FINRA in 2019 following allegations of possible unsuitable trading. The Sonn Law Group is investigating allegations that Dennis Mehringer committed misconduct.[...]