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 Orders Securities America to Pay $2 Million Over Mutual Fund Supervision Failures
FINRA ordered Securities America, now part of Osaic Wealth, to [...]
FINRA Orders Centaurus Financial to Pay Over $634,000 in Restitution in Variable Annuity Case
FINRA ordered Centaurus Financial, Inc. to pay $634,488.56 in customer [...]
FINRA Alleges Widespread Churning at Spartan Capital Securities: What Investors Should Know
FINRA’s complaint alleges that excessive trading in 114 customer accounts [...]
After the NFL: Why Former Players Face Unique Investment Risks and What They Can Do After a Financial Loss GalleryAfter the NFL: Why Former Players Face Unique Investment Risks and What They Can Do After a Financial Loss
Celebrity Cases, FINRA Arbitration News, Cases & Investor Resources | Sonn Law, Investor Alerts, Investor Resources
After the NFL: Why Former Players Face Unique Investment Risks and What They Can Do After a Financial Loss
Financial success during an NFL career does not guarantee financial [...]
UBS Financial Hit with $20M FINRA Fine & Historic $125M FinCEN Penalty
In one of the largest anti-money laundering (AML) enforcement actions [...]
Stifel Settles Dispute for $3.6 Million Over Barred Broker Chuck Roberts
Stifel Financial has agreed to pay nearly $3.6 million to [...]
FINRA Arbitration Attorney: What Investors, Advisors, and Firms Need to Know
What Is a FINRA Arbitration Attorney? A FINRA arbitration attorney [...]
What FINRA Arbitration Means for Investors and Advisors
FINRA Arbitration Plays a Major Role in Securities Disputes When [...]
Spartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations GallerySpartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations
FINRA Arbitration News, Cases & Investor Resources | Sonn Law, FINRA Enforcement & Investor Protection
Spartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations
In an ongoing effort to protect retail investors from predatory [...]
