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Anthony Tianfeng Cheng Barred by FINRA Over Undisclosed OBAstion, investor recovery, FINRA Arbitration Tracker

By |2026-07-17T10:36:54-04:00July 17th, 2026|FINRA Enforcement Actions|

The Financial Industry Regulatory Authority (FINRA) has permanently barred broker Anthony Tianfeng Cheng from the securities industry following his refusal to participate in an investigation into his business dealings. www.finra.org/rules-guidance/oversight-enforcement/disciplinary-actions The Allegations FINRA initiated an investigation into Cheng to determine whether he engaged in undisclosed Outside Business Activities (OBAs). When requested by FINRA to provide information [...]

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Peter Thomas Lawrence Barred by FINRA Amid Forgery Investigation

By |2026-07-17T10:29:42-04:00July 17th, 2026|FINRA Enforcement Actions|

FINRA has permanently barred broker Peter Thomas Lawrence from associating with any member firm after he failed to cooperate with a serious regulatory investigation into his conduct. www.finra.org/rules-guidance/oversight-enforcement/disciplinary-actions The Allegations According to FINRA’s recent disciplinary reports, the regulatory body launched an investigation into Lawrence based on severe allegations, including: Forging a customer’s signature. Making unsuitable product [...]

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Jacob Lee Harper Suspended by FINRA for Improper Customer Loans

By |2026-07-17T10:25:45-04:00July 17th, 2026|FINRA Enforcement Actions|

Financial advisors are held to strict ethical and regulatory standards regarding their financial entanglements with clients. FINRA recently suspended former Laguna Niguel, California broker Jacob Lee Harper for 22 months and assessed a deferred fine of $17,500 after he allegedly bypassed these critical safeguards. www.finra.org/rules-guidance/oversight-enforcement/disciplinary-actions The Allegations Without admitting or denying the findings, Harper consented to [...]

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FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations

By |2026-07-17T09:19:10-04:00July 17th, 2026|FINRA Enforcement Actions|

In one of the most severe regulatory actions of 2026, the Financial Industry Regulatory Authority (FINRA) has expelled the brokerage firm Reid & Rudiger LLC from membership and permanently barred its co-founders, Clifford Reid and CEO Edward Rudiger, Jr. According to FINRA, the firm and its leadership engaged in egregious “churning” and excessive trading in [...]

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Texas Church Investment Fraud Alert: Recovery Options for Victims of the Alleged Gracia Church Scheme

By |2026-07-15T13:08:12-04:00July 15th, 2026|Investor Alerts|

Federal prosecutors in North Texas have announced a new indictment against Richard Reinaldo Garcia, an Arlington, Texas resident with ties to several Arlington and Mansfield churches - Gracia Church, in connection with an alleged faith-based investment fraud scheme involving church-related entities. According to the U.S. Attorney’s Office for the Northern District of Texas, Garcia was [...]

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SEC Charges 21 Individuals in Alleged Decade-Long Insider Trading Scheme Involving Confidential M&A Information

By |2026-07-14T08:22:12-04:00July 14th, 2026|Investor Alerts, Securities Fraud & Investment Losses|

The SEC charged 21 individuals in connection with an alleged decade-long insider trading scheme involving confidential merger and acquisition information misappropriated from global law firms.

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First Liberty Building & Loan Collapse: Can Georgia Investors Recover Their Money?

By |2026-07-13T09:32:27-04:00July 13th, 2026|Investor Alerts|

The collapse of First Liberty Building & Loan left roughly 300 investors facing losses of at least $140 million. With a guilty plea now secured and one brokerage firm already paying millions to victims, many investors are asking the most important question: can I recover my money? Here’s what happened, where the case stands, and the legal options available now.

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Crypto Fraud and Investment Advisors: How to Spot Scams and Protect Your Money

By |2026-07-11T08:01:44-04:00July 10th, 2026|Cryptocurrency, Investor Resources|

Cryptocurrency has created real excitement for investors. The promise of fast growth, new technology, and big returns has drawn in people from all walks of life. But that same excitement has also created a perfect environment for fraud. As more investors turn to financial advisors for help navigating digital assets, a troubling pattern has emerged: [...]

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J.P. Morgan Securities Sanctioned by FINRA Over Supervision of Leveraged and Concentrated Trading Strategy

By |2026-07-09T14:25:17-04:00July 9th, 2026|Broker / Advisor Investigations|

Sonn Law is investigating potential investor claims involving J.P. Morgan Securities LLC following a recent FINRA sanction concerning the firm’s supervision of a registered representative who allegedly recommended a high-risk investment strategy involving leverage, concentration, and high-yield securities. According to FINRA’s public BrokerCheck report for J.P. Morgan Securities LLC, the firm was censured and fined [...]

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