Conley was accused of conducting a $5.2 million fraudulent securities offering. The Sonn Law Group is investigating allegations that Phillip Conley defrauded investors. If you[...]
Broker / Advisor Investigations
Gerald Dewes, Formerly of Cadaret, Grant & Co., Barred by FINRA for Refusing to Appear for Testimony
Dewes was being investigated by FINRA based on potential participation in undisclosed private securities transactions and outside business activities. The Sonn Law Group is investigating[...]
Pyne has been named in four customer disputes that have been settled against him. The Sonn Law Group is investigating allegations that Jonathan Pyne committed[...]
D’Andria allegedly recommended unsuitable NT-ETPs to his clients. The Sonn Law Group is investigating allegations that Robert D’Andria made unsuitable investment recommendations. If you or[...]
A customer filed a dispute against Sica based on allegations of unsuitability and negligent supervision. The Sonn Law Group is investigating allegations that Anthony Sica[...]
Flower was named in a FINRA complaint alleging unauthorized trades and causing inaccuracies in his firm’s books and records. The Sonn Law Group is investigating[...]
Lu allegedly was named as the beneficiary of 75 percent of the woman’s estate. The Sonn Law Group is investigating allegations that Steve Jun Lu[...]
Hetrick was being investigated by FINRA in connection with allegations of potential forgeries by him of customer signatures. The Sonn Law Group is investigating allegations[...]
James allegedly formed and incorporated a company and failed to report such information to his member firm. The Sonn Law Group is investigating allegations that[...]
Coogan allegedly misrepresented material facts in agreements he signed in connection with loans his customers obtained from multiple banks. The Sonn Law Group is investigating[...]