INVESTORS: New York-based Long Island Financial Group was fined by FINRA for violations of written and supervisory requirements of Regulation Best Interest. FINRA fined and[...]
Investment Loss Investigations
INVESTORS: Los Angeles-based brokerage firm Wedbush Securities, Inc. was fined $975,000 by FINRA for failing to ensure it had appropriate systems and controls in place[...]
If you invested in “10X” or with Cardone Capital based on any misleading information published by Cardone on social media, with promises of high investment[...]
Clients of UCB Financial Advisors and its principals Lina Maria Garcia and Ramiro Jose Sugranes may have grounds for damages. In November 2021 Sonn Law[...]
Investors concerned about option strategies recommended by their broker should seek advice from a securities attorney. FINRA has ruled that Morgan Stanley must pay $11.5[...]
Sonn Law Group is investigating potential claims against BlockFi after news that BlockFi has frozen customer withdrawals. Get a Free Consultation Online Or, call us[...]
Sonn Law Group is investigating potential claims against FTX and others for the loss of customer funds at FTX.com. Get a Free Consultation Online Or,[...]
INVESTORS: The SEC filed charges against the estate of Stephen Romney Swensen, a former registered investment adviser representative, for operating a fraudulent investment offering from[...]
If you were hit with a significant tax burden as a result of Vanguard’s sell-off of large amounts of assets in target-date retirement funds, you[...]
INVESTORS: James Arthur McDonald, Jr. and his SEC-registered investment adviser firm, Hercules Investments, LLC, were charged by the SEC in connection with two fraudulent securities[...]