Sonn Law Group is investigating claims regarding Michael Willard Korson (CRD #2108802, Novi, Michigan). Korson recently submitted an AWC in which he was barred from[...]
Investment Loss Investigations
Sonn Law Group is investigating claims regarding Patrick Richard Harrison (CRD #4976695, Fircrest, Washington). Harrison recently submitted an AWC in which he was barred from[...]
FINRA has ordered LPL Financial to pay $10 million in fines and $1.7 million in restitution for “widespread supervisory failures” related to certain ETF, variable[...]
Sonn Law Group is investigating claims regarding Michael J. Oppenheim, who was associated with JP Morgan Securities from October 2012 until his termination in March[...]
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[...]
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[...]