Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision
Sonn Law is reviewing potential investor claims involving Great Point Capital LLC following FINRA disclosures concerning private placement communications, supervision, and alleged misleading statements to retail customers.
Axos Clearing Ordered to Pay $40.7M in Worden Capital Case: Why Clearing Firm Liability Matters for Investors
A major FINRA arbitration ruling involving Axos Clearing and the now-defunct Worden Capital Management highlights how clearing firm liability may become an important recovery path for defrauded investors.
Texas Investor Alert: Sonn Law Group Monitors FINRA Arbitration, Broker Misconduct, and Securities Fraud Cases Affecting Texas Investors
Sonn Law Group represents investors nationwide, including investors in Texas, [...]
FINRA Expels Reid & Rudiger, Bars Founders After Churning Scheme Caused $2.7 Million in Customer Losses
FINRA expelled Reid & Rudiger LLC and barred founders Clifford Reid and Edward Rudiger Jr. after finding that churning and excessive trading caused approximately $2.7 million in customer losses.
SEC and FINRA Refocus on Fraud, Supervision, and Investor Harm: What Brokerage Customers Should Know
Recent SEC and FINRA guidance highlights renewed regulatory focus on fraud, investor harm, broker-dealer supervision, AML controls, Reg BI, and private placement due diligence.
Spartan Capital and James Pecoraro Accused of Excessive Trading and “Churning” in FINRA Complaint
FINRA accused Spartan Capital Securities and broker James Pecoraro of operating excessive trading and churning practices that allegedly generated substantial commissions while causing major investor losses.
FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervision Failures Tied to Former Broker Edward Turley
FINRA has fined J.P. Morgan Securities LLC $3.25 million after [...]
FINRA March 2026 Disciplinary Actions Reveal Widespread Reg BI Failures, Private Placement Risks, and Supervisory Breakdowns
Introduction FINRA’s March 2026 disciplinary report highlights persistent failures in [...]
$133 Million FINRA Award Upheld: Court Rejects Stifel’s Challenge in Major Investor Win
A significant decision from Miami this week sends a clear [...]
