Martin was barred after failing to respond to two requests for information and documents by FINRA. The Sonn Law Group is investigating allegations that Ashley[...]
Broker / Advisor Investigations
Kozi, who had worked at 18 firms since 1987, has been suspended for two years. The Sonn Law Group is investigating allegations that Halil Kozi[...]
O’Hara consented to a nine-month suspension and a $10,000 fine for his misconduct. The Sonn Law Group is investigating allegations that Frederic O’Hara engaged in[...]
Crain consented to a three-month suspension and a $5,000 fine imposed by FINRA. The Sonn Law Group is investigating allegations that John Stuart Crain altered[...]
The SEC entered a final consent judgment against Hafen, who was charged in September 2019 with misappropriation of clients’ funds. The Sonn Law Group is[...]
CCA allegedly made misrepresentations to investors in their Hedged Futures Strategy Fund The Sonn Law Group is investigating allegations that Catalyst Capital Advisors made material[...]
The allegations against Baltz claim that he misrepresented variable annuity benefits. The Sonn Law Group is investigating allegations that Matthew Baltz made misrepresentations regarding variable[...]
The allegations against Bohrer include breach of fiduciary duties, violations of securities laws, and breach of contract. The Sonn Law Group is investigating allegations that[...]
Thomas allegedly engaged in outside business activities through a company he formed and controlled without providing notice to his member firm. The Sonn Law Group[...]
Disambiguation Notice: This post contains information related to James Travis Flynn (Jim Flynn – CRD#: 3082615) of Greenville South Carolina. He is not to be[...]