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.
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, [...]
Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision
Sonn Law is reviewing potential investor claims involving Great Point Capital LLC following FINRA disclosures concerning private placement communications, supervision, and alleged misleading statements to retail customers.
Axos Clearing Ordered to Pay $40.7M in Worden Capital Case: Why Clearing Firm Liability Matters for Investors
A major FINRA arbitration ruling involving Axos Clearing and the now-defunct Worden Capital Management highlights how clearing firm liability may become an important recovery path for defrauded investors.
Texas Investor Alert: Sonn Law Group Monitors FINRA Arbitration, Broker Misconduct, and Securities Fraud Cases Affecting Texas Investors
Sonn Law Group represents investors nationwide, including investors in Texas, [...]
FINRA Expels Reid & Rudiger, Bars Founders After Churning Scheme Caused $2.7 Million in Customer Losses
FINRA expelled Reid & Rudiger LLC and barred founders Clifford Reid and Edward Rudiger Jr. after finding that churning and excessive trading caused approximately $2.7 million in customer losses.
SEC and FINRA Refocus on Fraud, Supervision, and Investor Harm: What Brokerage Customers Should Know
Recent SEC and FINRA guidance highlights renewed regulatory focus on fraud, investor harm, broker-dealer supervision, AML controls, Reg BI, and private placement due diligence.
