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,[...]
Investment Loss Investigations
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[...]
Joseph Mahmud (CRD #5626765, Registered Representative, Brooklyn, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with[...]
Adrienne Marie Llamas (CRD #4203041, Registered Supervisor, Long Beach, California) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association[...]
Adorean Boleancu (CRD #4839991, Registered Representative, Napa, California) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any[...]
Darrell Wayne Mikulencak (CRD #2661351, Registered Representative, Washington, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended[...]
Mark Allen Larson (CRD #1458125, Registered Representative, Stillwater, Minnesota) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with[...]
Scott Lawrence Olson (CRD #711256, Registered Principal, Melbourne, Florida) submitted an Offer of Settlement in which he was censured, fined $10,000, suspended from association with[...]