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[...]
Broker / Advisor Investigations
The unauthorized business activity allegedly was related to the Woodbridge Ponzi scheme. The Sonn Law Group is investigating allegations that Imran Razvi was involved in[...]
Cook allegedly made intentional misrepresentations regarding the Department of Labor’s fiduciary rule. The Sonn Law Group is investigating allegations that Louis Cook made intentional misrepresentations[...]
FINRA was conducting an investigation of Davis based on allegations that he engaged in excessive and unsuitable trading. The Sonn Law Group is investigating allegations[...]
Trewitt has been named in eighteen customer disputes between 2014 and 2019. The Sonn Law Group is investigating allegations that Mark Trewitt committed misconduct. If[...]
Chichester was alleged to have breached fiduciary duty, made unsuitable recommendations, and made material misrepresentations and omissions. The Sonn Law Group is investigating allegations that[...]
Daniel Saur (CRD#: 2424518) was a registered representative for Kalos Capital in Dallas, Texas from April 2008 until December 2019. Saur was named in three[...]
Lippmann faces two customer complaints totaling $650K over alleged unsuitable recommendations. The Sonn Law Group is investigating allegations that Travis Lippmann made unsuitable recommendations. If[...]
Shaw was named in a dispute seeking $350,000 in damages over alleged unsuitable investments in GPB Capital. The Sonn Law Group is investigating allegations that[...]
The complaint is regarding unit investment trusts (UITs) and alleges breach of fiduciary duty, among other violations. The Sonn Law Group is investigating allegations that[...]