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 Slaps Tastytrade with $850,000 Fine Over Best Execution Failures
When you place a stock trade through your brokerage firm, [...]
Ex-Morgan Stanley Broker Theodore W. Byrer Suspended 14 Months Over Speculative Options Strategy
Options trading can be a highly effective portfolio tool, but [...]
Broker Jacob Lee Harper Suspended for Secret $50,000 Customer Loans
Financial advisors occupy a position of deep trust, and borrowing [...]
Record $120M Penalty Hits Canaccord Genuity Over Systemic AML Failures
To protect the integrity of the U.S. financial system, broker-dealers [...]
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 [...]
