Sonn Law Group is investigating claims regarding Stefani Ann Bennett (CRD #5890347, Salmon, Idaho). Bennett recently submitted a Letter of Acceptance, Waiver and Consent in[...]
Investment Loss Investigations
FINRA recently barred former LPL Financial broker, Gary Chackman (CRD #1705039, Baltimore, MD), for several violations of securities industry rules, including falsifying documents, related to[...]
Sonn Law Group is investigating claims regarding former Registered Principal Mark Christopher Hotton (CRD #2346843, West Islip, New York), who has been barred from association[...]
Lucas Swanson (CRD #5141342, Registered Representative, San Francisco, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended[...]
John Morgan Pickens Jr. (CRD #4316358, Registered Representative, Scott Depot, West Virginia) submitted a Letter of Acceptance, Waiver and Consent in which he was barred[...]
Richard Allan Danz (CRD #5502230, Registered Representative, St. Marys, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which he permanently was barred from[...]
Sonn Law Group is investigating claims regarding investors who invested in Puerto Rico’s tax free bond funds through UBS Puerto Rico, Santander Securities, Popular Securities,[...]
FINRA has filed a complaint against Jeremy Gerald Tintle (CRD #2817173, Registered Representative, Atlanta, Georgia) alleging that he participated in a private securities transaction outside[...]
Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined[...]
Deutsche Bank Securities Inc. (CRD #2525, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and[...]