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.[...]
Broker / Advisor Investigations
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[...]
Oglesby was named in a customer dispute seeking $100,000 alleging various forms of misconduct. The Sonn Law Group is investigating allegations that Darren Oglesby made[...]
Vanlohuizen is accused of unsuitable investment recommendations, among other misconduct. The Sonn Law Group is investigating allegations that Timothy Jan Vanlohuizen made unsuitable recommendations. If[...]
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[...]
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[...]