On January 22, 2017, a FINRA disciplinary action, found former RBC Wealth Management-US (RBC) broker Thomas Lee Johnson (CRD#: 1215434) guilty of theft. After 34[...]
Investment Loss Investigations
In October of last year, FINRA regulators denied an appeal and upheld a decision on barred broker Gopi Krishna Vungarala (CRD#: 4856193). The FINRA decision[...]
Sonn Law is Investigating Mainsail Debt Fund LLC, Mainsail Income Fund, Mainsail Capital LLC, and David Griggs. Sonn Law has learned that the Mainsail Debt[...]
On January 9, Charles Gonzalez (CRD#: 4330269) settled allegations in a FINRA investigation. As a part of the disciplinary action, he signed a Letter of[...]
A January 11th FINRA disciplinary proceeding found Dennis Allen Hayes (CRD#: 4403550) conducted unauthorized business activity. He sold private securities transactions without disclosing this activity[...]
January 8. FINRA has imposed a lifetime ban on Trevor Michael Saliba (CRD#: 2692057), former chairman and majority owner of NMS Capital Advisors. He is[...]
On January 2nd, a FINRA regulatory decision handed down a suspension and fines for broker-dealer CSSC Brokerage Service, Inc. (“CSSC”). The decision also barred Eric[...]
On January 8, Financial Industry Regulatory Authority (FINRA) barred former broker Daniel Todd Levine (CRD#: 2874319) from associating with any FINRA member broker or firm[...]
Alaska Financial Company III Promoters Allegedly Misappropriated Investor Funds Early last year the Alaska Financial Company III, LLC (AFC III) reached a settlement with the[...]
Stephen C. Carver (CRD#: 2230161) was previously registered as a broker and investment advisor. From November of 2017 to December of 2018, Mr. Carver was[...]