Securities Fraud
Current perspectives on securities fraud, broker misconduct, and the legal pathways available to harmed investors nationwide.
Broker Misconduct
Updates on advisor negligence, unsuitable recommendations, excessive trading, and regulatory actions.
Investor Recovery
Legal updates and practical information for investors seeking to recover financial losses after misconduct.
Market Developments & Recovery Guidance
Timely guidance on securities fraud, broker misconduct, and investor recovery developments.
Latest Investor Alerts
Timely updates on emerging fraud cases, enforcement actions, investor complaints, and potential recovery issues.
Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration
The customer is seeking $580k in damages for Hartvigson’s alleged [...]
William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
The customers allege that Johnson recommended high-risk and illiquid alternative [...]
SEC Accuses Sky Group USA and CEO Efrain Betancourt, Jr. of Operating $66M Promissory Note Scam
Last Updated: October 21, 2021 INVESTORS: The Sonn Law Group [...]
BROKER/ADVISOR MISCONDUCT
Coverage of FINRA complaints, regulatory actions, unsuitable recommendations, unauthorized trading, and other forms of advisor misconduct.
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FINRA ARBRITRATION
Practical guidance on investor claims, broker disputes, arbitration awards, and the recovery process.
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ALTERNATIVE INVESTMENT LOSSES
Updates on private placements, DSTs, BDCs, non-traded REITs, and other illiquid investment products.
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Class Actions & Market Misconduct
Coverage of securities class actions, institutional misconduct, and large-scale financial harm affecting investors.
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INVESTOR RECOVERY RESOURCES
Helpful legal resources for investors evaluating recovery options after losses caused by financial misconduct.
