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[...]
Broker / Advisor Investigations
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[...]
Bonk allegedly accepted a loan from a customer of his member firm and made false statements to conceal the loan. The Sonn Law Group is[...]
The customer is seeking damages of $6M for Potratz’s allegedly unsuitable and inappropriate recommendations. The Sonn Law Group is investigating allegations that Rodney Potratz made[...]
Franco allegedly failed to appear for testimony requested by FINRA in connection with their investigation. The Sonn Law Group is investigating allegations that Gustavo Trujillo[...]
FINRA barred Springsteen-Abbott after investigations into misusing client funds and misleading investors. The Sonn Law Group is investigating allegations that Kimberly Springsteen-Abbott misused client funds.[...]
Serizawa, currently employed by Woodbury Financial, is accused of selling GPB private placements. The Sonn Law Group is investigating allegations that Daryl Serizawa recommended private[...]
Batstone allegedly transferred customer funds to his personal accounts to be used for personal expenses. The Sonn Law Group is investigating allegations that Martin Batstone[...]
Murphy is facing a four-month suspension and a fine of $5,000 for the misconduct. The Sonn Law Group is investigating allegations that Thomas Murphy signed[...]
Cody previously pled guilty to criminal charges alleging that he defrauded retirees. The Sonn Law Group is investigating allegations that Richard Cody committed fraud. If[...]