FINRA requested information and documents from Benson in connection with an investigation into a customer complaint. The Sonn Law Group is investigating allegations that Bryan[...]
Broker / Advisor Investigations
Doraine was being investigated by FINRA for unsuitable recommendations. The Sonn Law Group is investigating allegations that Charles Doraine made unsuitable investment recommendations. If you[...]
The SEC’s complaint alleges that Kellen defrauded his clients over a period of several years. The Sonn Law Group is investigating allegations that Donald Kellen[...]
The SEC accused Mr. Reifler of fraud and misappropriating client funds. The Sonn Law Group is investigating allegations that Bradley Reifler committed fraud. If you[...]
The disputes allege misconduct ranging from negligence to unsuitable investment recommendations. The Sonn Law Group is investigating allegations that Cindy Chiellini committed misconduct. If you[...]
Reither is accused of borrowing money from a customer while employed by First Allied Securities. The Sonn Law Group is investigating allegations that Michael Reither[...]
Roop allegedly recommended unsuitable investments in alternative securities. The Sonn Law Group is investigating allegations that Joseph Roop recommended unsuitable investments. If you or a[...]
Engstrom was suspended for three months and ordered to pay a $5,000 fine. The Sonn Law Group is investigating allegations that Brian Engstrom made unsuitable[...]
Harkless allegedly used a customer’s funds for his own personal expenses. The Sonn Law Group is investigating allegations that Albert Harkless III converted client funds.[...]
Heely was suspended for two months based on allegations that he registered and incorporated a company without providing notice to his member firm. The Sonn[...]