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.
Todd Anthony Cirella of Laidlaw & Co. Faces $350,000 Arbitration Claim Over Illiquid Investments
FINRA BrokerCheck records reveal a significant pending customer dispute involving [...]
$3.4 Million FINRA Claim Filed Against William Brian Candler Over Private Placement Losses
FINRA BrokerCheck records reveal a significant pending customer dispute involving [...]
UBS Advisor Igor “Gary” Harlap Faces FINRA Arbitration Over Structured Notes
FINRA BrokerCheck records indicate a pending customer dispute involving Igor [...]
FINRA Fines Broker-Dealer Over Regulation Best Interest Failures: What Investors Should Know About Supervisory Breakdowns
In a recent enforcement action, the Financial Industry Regulatory Authority [...]
FINRA Suspends 39-Year Veteran Over $100,000 in Unnecessary Fees
Regulators do not suspend four-decade veterans lightly. When they do, [...]
FINRA Sanctions Taglich Brothers for Regulation Best Interest and Form CRS Violations
A recent disciplinary action by the Financial Industry Regulatory Authority [...]
FINRA Bars Former Broker Jeyakumar Nadarajah for Failure to Cooperate with Investigation
The Financial Industry Regulatory Authority (FINRA) has barred former securities [...]
Arkadios Capital Sanctioned by FINRA for Reg BI Failures Involving Complex ETFs
A recent disciplinary action by the Financial Industry Regulatory Authority [...]
James Walesa Barred by FINRA: What This Means for Triad and Arkadios Capital Investors
The Financial Industry Regulatory Authority (FINRA) recently took a significant [...]
