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.
Independence Capital Fined, Broker Suspended Over Speculative Bond Sales to Seniors
Brokerage firms have a strict duty to ensure the investments [...]
FINRA Expels Reid & Rudiger and Bars Co-Founders Over $2.7M Churning Scheme
FINRA has taken decisive action against brokerage firm Reid & [...]
Michael Joseph Russo FINRA Complaint: Unsuitability and Unauthorized Trading Allegations
FINRA’s BrokerCheck record for Michael Joseph Russo shows that he [...]
Stephen Sullivan FINRA Complaint: Churning, Excessive Trading, and Failure to Provide Testimony
FINRA’s public BrokerCheck record for Stephen James Sullivan shows that [...]
Michael Venturino FINRA Complaint: Unauthorized Trading and Excessive Trading Allegations
FINRA’s official disciplinary records show that Michael Venturino was the [...]
FINRA Accelerates Arbitration for Older and Seriously Ill Investors: What the New Rules Mean GalleryFINRA Accelerates Arbitration for Older and Seriously Ill Investors: What the New Rules Mean
Elder Financial Abuse, FINRA Arbitration Attorney, FINRA Arbitration News, Cases & Investor Resources | Sonn Law
FINRA Accelerates Arbitration for Older and Seriously Ill Investors: What the New Rules Mean
FINRA has adopted amendments to its Codes of Arbitration Procedure [...]
Ernest Julius Romer III FINRA Fraud Case: Elder Investor Losses and Broker Accountability
FINRA’s BrokerCheck record for Ernest Julius Romer III shows allegations [...]
Worden Capital Management and FINRA Arbitration: What Investors Should Know
FINRA’s public records show that Worden Capital Management LLC has [...]
World Choice Securities Sanctioned Over Private Real Estate Offerings; CEO Suspended
Private placements and alternative investments carry immense risk, which is [...]
