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[...]
Investment Loss Investigations
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[...]
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[...]
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[...]