FINRA announced today that is has barred California-based broker Jim Seol (Broker CRD Number: 2876279) effective immediately. The decision comes down after the hearing panel[...]
Investment Loss Investigations
For full information about Southwest Securities, please do not hesitate to access FINRA’s free BrokerCheck tool, and input the firm’s Central Registry Depository (CRD) number:[...]
The Sonn Law Group is investigating claims related to Brant Ray (FINRA CRD Number: 4746637). Brant Ray was named a respondent in a FINRA complaint[...]
The Sonn Law Group is investigating claims related to Walter Marino (FINRA CRD Number: 2121623). Walter Joseph Marino was recently named a respondent in a[...]
The Sonn Law Group is investigating claims related to James Davis Trent (Broker CRD Number: 2730687). James Davis Trent was recently named a respondent in[...]
The Sonn Law Group is investigating claims related to Ronald Broadstone (FINRA CRD Number: 1043159). Ronald Broadstone was barred by FINRA from working in the[...]
The Sonn Law Group is investigating claims related to Corinne Renae Mittag (FINRA CRD#: 2754498). Corinne Mittag worked in the securities industry from 1996 until[...]
The Sonn Law Group is investigating claims related to Samuel Frederik Lek (FINRA CRD#: 1642936), CEO of Lek Securities Corporation. FINRA alleges that Samuel Lek[...]
The Sonn Law Group is investigating claims related to former PRIMEX broker William F. White (FINRA CRD Number: 2168943). Mr. White has been employed as[...]
The Sonn Law Group is investigating claims related to former Morgan Stanley Investment Advisor Barry Connell (FINRA CRD#: 702460). According to the SEC Barry Connell[...]