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.
Regulation Best Interest and Excessive Trading: What a Recent FINRA Complaint Reveals
When excessive trading occurs in a retail investment account, the [...]
Regulation Best Interest in Action- What a Recent FINRA Complaint Reveals About Excessive Trading Risks
When Regulation Best Interest (Reg BI) went into effect in [...]
FINRA Rule 8210 and Investor Protection: What Recent Enforcement Highlights
When investors entrust their savings to financial professionals, they rely [...]
FINRA Files Disciplinary Complaint Involving Sutter Securities Inc. and Former Executive
The Financial Industry Regulatory Authority (FINRA), through its Department of [...]
How to Recover Investment Losses Through FINRA Arbitration
When investors experience significant losses due to broker misconduct or [...]
Sean T. Sullivan CRD 6283466 Denies Charges Against Him Publicly Filed by FINRA Filed September 23, 2025 in a FINRA Disciplinary Action
Sean Sullivan issued the following statement about claims and charges [...]
LPL Financial Broker Bentley Beard Under Investigation for Real Estate Investment Complaint
A long-tenured broker with over three decades of experience, Bentley [...]
Understanding FINRA Rule 4512: What Investors and Firms Need to Know
Among the numerous rules that guide securities firms, FINRA Rule [...]
How to File a Complaint Against a Financial Advisor
If you believe your financial advisor has committed wrongdoing, taking [...]
