FINRA Arbitration Tracker: Broker Complaints & Customer Disputes
The FINRA Arbitration Tracker provides disclosure summaries, customer dispute filings, and regulatory actions involving registered brokers, financial advisors, and member brokerage firms nationwide. Sonn Law Group reviews potential investor recovery claims involving unsuitable recommendations, unauthorized trading, churning, options losses, real estate securities (DSTs), and failure to supervise.
FINRA’s Proposed Arbitrator-Selection Changes (SR-FINRA-2026-017): What It Means for Your Arbitration Claim
When an investor loses money due to broker fraud or [...]
Centaurus Broker Russell Trumm Faces $400,000 FINRA Arbitration
Russell Paul Trumm faces a pending FINRA arbitration alleging recommendations involving speculative and illiquid alternative investments.
PFS Investments Broker Norman Dsilva Faces $500,000 Elder Exploitation Claim
Norman Dsilva faces a pending $500,000 FINRA arbitration alleging that he failed to protect an elderly client from financial exploitation.
LPL Financial Broker Benjamin Burkley Faces $750,000 FINRA Arbitration
Benjamin Paul Burkley faces a pending FINRA arbitration alleging that a variable annuity liquidation caused harmful tax consequences and lost income.
Wells Fargo Broker David Engel Faces $1 Million FINRA Arbitration
David Madison Engel faces a pending FINRA arbitration seeking more than $1 million in alleged damages involving unauthorized transfers and misrepresentations.
Red Oak Capital Fund III Liquidation Timeline: What Investors Should Expect
Red Oak Capital Fund III has stopped making regular interest payments and entered a liquidation process that may continue through 2027. Review the key dates, financial disclosures, property sale plans, and options available to affected investors.
Will Red Oak Capital Fund III Investors Recover Their Money?
Investors in Red Oak Capital Fund III are facing a [...]
Red Oak Capital Fund III Losses: Holding Brokers Accountable for Unsuitable Recommendations
If you invested in Red Oak Capital Fund III, recent [...]
Investor Alert: Did You Lose Money with StoneX Financial Broker Gabriel Gomez?
Sonn Law Group is investigating former StoneX Financial Inc. financial [...]
