Sonn Law Group is investigating claims regarding Gregg Alan Beemer (CRD #2248923, Dayton, Ohio). Beemer recently submitted an AWC in which he was barred from[...]
Investment Loss Investigations
Sonn Law Group is investigating claims regarding Daryl Richard Lemon (CRD #2473133, Los Angeles, California). Lemon recently submitted an AWC in which he was barred[...]
Sonn Law Group is investigating claims regarding Michael Richard Crow (CRD #57845, San Jose, California). Crow recently submitted an AWC in which he was assessed[...]
FINRA recently fined two firms a total of $850,000 related to broker reporting failures. FINRA fined UBS Financial Services Inc., the broker-dealer unit of UBS[...]
Sonn Law Group is investigating claims regarding Michael John Smeriglio III. (CRD #2499903, Old Greenwich, Connecticut). Smeriglio recently submitted an AWC in which he was[...]
Sonn Law Group is investigating claims regarding Angela Marie Borchardt (CRD #4145563, Tomahawk, Wisconsin). Borchardt recently submitted an AWC in which she was barred from[...]
Sonn Law Group is investigating claims regarding James Frederick Van Doren (CRD #5048067, Long Island City, New York), who has been named a respondent in[...]
FINRA recently announced that it has permanently barred Jeffrey C. McClure from the securities industry for converting nearly $89,000 from an elderly customer’s bank account[...]
FINRA recently announced that it has fined Popular Securities, Inc., now known as Popular Securities, LLC, $125,000 for supervisory failures related to sales of Puerto[...]
FINRA recently announced that it has fined 10 firms a total of $43.5 million for permitting their equity research analysts to solicit investment banking business[...]