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.
Spartan Capital and James Pecoraro Accused of Excessive Trading and “Churning” in FINRA Complaint
FINRA accused Spartan Capital Securities and broker James Pecoraro of operating excessive trading and churning practices that allegedly generated substantial commissions while causing major investor losses.
FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervision Failures Tied to Former Broker Edward Turley
FINRA has fined J.P. Morgan Securities LLC $3.25 million after [...]
FINRA March 2026 Disciplinary Actions Reveal Widespread Reg BI Failures, Private Placement Risks, and Supervisory Breakdowns
Introduction FINRA’s March 2026 disciplinary report highlights persistent failures in [...]
$133 Million FINRA Award Upheld: Court Rejects Stifel’s Challenge in Major Investor Win
A significant decision from Miami this week sends a clear [...]
5 Red Flags Your Investment May Have Been Misrepresented
Not every investment loss results from fraud. Markets fluctuate, and [...]
FINRA Arbitration Attorney Miami: Strategic Investor Recovery in a Changing Financial Landscape (2026)
In the transforming financial world of 2026, investor protection goes [...]
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