Stay informed about selected FINRA complaints, regulatory investigations, disciplinary actions, suspensions, bars, and related developments involving brokers, financial advisors, and brokerage firms. This watch page is organized by reporting period and is intended to help investors review recent matters that may involve broker misconduct, firm supervision issues, regulatory concerns, or potential investor recovery claims.

Listings are provided for informational purposes only and do not necessarily indicate that Sonn Law Group is currently pursuing a claim involving the listed broker, advisor, or firm. Where a dedicated case review, investor alert, or related Sonn Law Group article becomes appropriate, the “View Case” field will be populated with a link to the corresponding page.

Broker / AdvisorFirmIssue TypeStatus DateRead More
Robbi Julene JonesKipling Jones & Co., Ltd.Books/records, inaccurate FOCUS reports, misleading informationBarredMay 2026View Case
Tradier Brokerage, Inc.Tradier Brokerage, Inc.Customer complaint reporting failuresCensured / FinedMay 2026View Case
Herold & Lantern Investments, Inc.Herold & Lantern Investments, Inc.AML supervision / low-priced securitiesCensured / FinedMay 2026View Case
Canaccord Genuity LLCCanaccord Genuity LLCSupervision, AML, trade surveillance, best executionCensured / FinedMay 2026View Case
Arcadia Securities, LLCArcadia Securities, LLCNet capital deficienciesCensured / FinedMay 2026View Case
The Ultima Global Markets (USA), Inc.The Ultima Global Markets (USA), Inc.AML / correspondent accountsCensured / FinedMay 2026View Case
VectorGlobal WMG, Inc.VectorGlobal WMG, Inc.Regulation S / supervisory failuresCensured / FinedMay 2026View Case
Alpaca Securities LLCAlpaca Securities LLCTrade reporting failuresCensured / FinedMay 2026View Case
Stash Capital LLCStash Capital LLCCIP, AML, identity theft preventionCensured / FinedMay 2026View Case
Aegis Capital Corp.Aegis Capital Corp.Regulation M notification failuresCensured / FinedMay 2026View Case
BTIG, LLCBTIG, LLCOff-channel communicationsCensured / FinedMay 2026View Case
Chapin Davis, Inc.Chapin Davis, Inc.Net capital, books/records, Reg BI supervisionCensured / FinedMay 2026View Case
David Nathan CohenNot listedFINRA testimony / customer funds investigationBarredMay 2026View Case
Danish RaufNot listedUndisclosed outside business activity investigationBarredMay 2026View Case
Justin KimNot listedFailure to provide informationBarredMay 2026View Case
Roger Allan RoemmichNot listedCustomer arbitration / unsuitable recommendation investigationBarredMay 2026View Case
Joshua Ethan ScholnickNot listedSIE exam misconductBarredMay 2026View Case
Avinesh K. ShankarNot listedAlleged forged annuity applications / commission issueBarredMay 2026View Case
Anthony SicaNot listedFailure to appear for testimonyBarredMay 2026View Case
William Steven CookeNot listedUnauthorized trades / failure to appearBarredMay 2026View Case
Lester Joel HochlerNot listedSupervision of speculative debt and complex productsSuspendedMay 2026View Case
Marc HarrisonReid & Rudiger LLCComplaint alleging supervision failuresComplaint FiledMay 2026View Case
Kelli A. MezzatestaReid & Rudiger LLCComplaint alleging supervision failuresComplaint FiledMay 2026View Case
Clifford Ronald ReidReid & Rudiger LLCComplaint alleging churning / excessive tradingComplaint FiledMay 2026View Case
Edward Joseph Rudiger Jr.Reid & Rudiger LLCComplaint alleging churning / excessive tradingComplaint FiledMay 2026View Case
James Fredrick TigheNot listedComplaint alleging failure to cooperateComplaint FiledMay 2026View Case
John Dennis LowrySpartan Capital Securities, LLCComplaint alleging private placement / pre-IPO disclosure issuesComplaint FiledMay 2026View Case
Kim Marie MonchikSpartan Capital Securities, LLCComplaint alleging private placement / pre-IPO disclosure issuesComplaint FiledMay 2026View Case
Joshua Aaron DeanNot listedFailure to provide information / keep information currentBarredMay 2026View Case
Joseph Gordon NelsonNot listedFailure to provide information / keep information currentBarredMay 2026View Case
William KershawNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Ricky Allen McReynoldsNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Fernando MendezNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Robert Leroy MetzNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Ryan Mitchell PiggNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Hanspeter SchieggNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Keith Wesley SchongarNot listedFailure to provide information / keep information currentSuspendedMay 2026View Case
Michael BarrowsNot listedFailure to pay FINRA dues / fees / chargesSuspendedMay 2026View Case
Vincent Jerome CamardaNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Brian Ariel ChicasNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Timothy James GardnerNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
James Edward McArthurNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Brendan KammererNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Glenn J. RomerNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
James Keith CoxNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Eileen Law CureNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Randy Cleve FoxNot listedFailure to comply with arbitration award / settlementSuspendedMay 2026View Case
Anthony Joseph CantoneCantone Research Inc.Private placement disclosure omissionsSuspended / FinedApril 2026View Case
Christine Louise CantoneCantone Research Inc.Supervisory failuresSuspended / FinedApril 2026View Case
Robert Settimio CupelloNot listedVariable annuity exchange recommendations involving senior customersSuspended / FinedApril 2026View Case

Note: Reporting periods are identified within the table. “View Case” links are added only when Sonn Law Group publishes a dedicated case review, investor alert, or related article concerning the listed broker, advisor, firm, or disciplinary matter.