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.
Ex-Edward Jones Broker Delaina Kucish Suspended 15 Months for Off-Channel Texts and Cover-Up
Wall Street regulators have launched a massive crackdown on “off-channel [...]
Broker Jing Li Suspended for Willfully Hiding Felony Grand Theft Charges on Form U4
Transparency is the foundation of the broker-client relationship. Investors rely [...]
Broker Curtis Wayne Smith Suspended for Impersonating a Customer
Security protocols exist at financial institutions to protect client assets [...]
FINRA Fines Centaurus Financial $1.1 Million Over Variable Annuity Sales and Reg BI Violations
The Financial Industry Regulatory Authority (FINRA) has penalized Southern California-based [...]
Broker Andrew Stephen Mogol Suspended by FINRA for Free-Riding
Integrity in personal financial dealings is a core requirement for [...]
Anthony Tianfeng Cheng Barred by FINRA Over Undisclosed OBAstion, investor recovery, FINRA Arbitration Tracker
The Financial Industry Regulatory Authority (FINRA) has permanently barred broker [...]
Peter Thomas Lawrence Barred by FINRA Amid Forgery Investigation
FINRA has permanently barred broker Peter Thomas Lawrence from associating [...]
Jacob Lee Harper Suspended by FINRA for Improper Customer Loans
Financial advisors are held to strict ethical and regulatory standards [...]
FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations
In one of the most severe regulatory actions of 2026, [...]
