1-844-689-5754

Loading...

Recent FINRA Disciplinary Actions: Broker and Advisor Misconduct Roundup (Mid-May 2026)

By |2026-05-20T10:30:36-04:00May 20th, 2026|Broker / Advisor Investigations|

Recent FINRA disciplinary actions involving brokers and firms including Anthony Tianfeng Cheng, Peter Thomas Lawrence, Jeffrey Kenneth Galvani, Stuart A. Jeffery, Robert Settimio Cupello, Arkadios Capital, Taglich Brothers, Avantax Investment Services, Altruist Financial, and Goldman Sachs Custody Solutions highlight allegations involving broker misconduct, unsuitable recommendations, private securities transactions, supervisory failures, and regulatory compliance issues.

Read More

Miles Goldstein v. Reuben Ezekiel: Miami Jury Levels $48M Verdict over Golden Beach Broker Commission Deception

By |2026-05-19T16:35:48-04:00May 19th, 2026|Broker / Advisor Investigations|

A Miami jury has awarded nearly $48 million in a Golden Beach broker commission dispute involving allegations of fraud, tortious interference, and conspiracy. The verdict underscores how financial and business misconduct claims can escalate far beyond the original commission amount when deception is alleged.

Read More

SEC Charges Reign Financial and Berone Capital in Alleged $26 Million High-Yield Investment Fraud

By |2026-05-18T10:37:20-04:00May 18th, 2026|Broker / Advisor Investigations|

High-yield investment programs promising low-risk, outsized returns remain a major red flag for investors. In one of the most significant private offering fraud cases filed in South Florida this year, the Securities and Exchange Commission (SEC) has stepped in to halt an alleged $26 million scheme targeting retail investors. On May 12, 2026, the SEC [...]

Read More

SEC Shuts Down Zera Financial LLC Offering Fraud Involving Alleged 36% Annual Returns and FDIC Insurance Claims

By |2026-05-18T10:16:52-04:00May 18th, 2026|Broker / Advisor Investigations|

The Securities and Exchange Commission (SEC) has obtained an emergency order in federal court to freeze assets and halt an ongoing offering fraud and Ponzi-like scheme orchestrated by Zera Financial LLC and its principal, Luis A. Romero (SEC Litigation Release — Zera Financial LLC and Luis A. Romero). According to the SEC's complaint, the defendants [...]

Read More

Gabriel Hynes, Formerly of Kestra and NYLife, Barred by FINRA After Failing to Comply With Investigation

By |2026-05-18T10:09:26-04:00May 18th, 2026|Broker / Advisor Investigations|

Former broker Gabriel Hynes, previously registered with Kestra Investment Services and NYLife Securities, was barred by FINRA after refusing to appear for testimony in an investigation involving Future Income Payments pension-stream investments. The case raises investor concerns involving outside investments, private securities transactions, selling-away issues, and brokerage firm supervision.

Read More

Forge Securities Broker Allegations Raise New Questions About Pre-IPO Investment Due Diligence

By |2026-05-17T11:30:39-04:00May 17th, 2026|Broker / Advisor Investigations|

Allegations involving Forge Securities brokers and a fake pre-IPO investment fund raise serious questions about private-market due diligence, broker supervision, and investor protection. As federal prosecutors pursue fraud claims tied to Sestante Capital and NextGenTech Investments, investors who were introduced to these offerings through registered financial professionals may need to examine whether brokerage failures contributed to their losses.

Read More

San Antonio Attorney Edward Valdespino Accused of Misusing Lawyer Trust Accounts in Multimillion-Dollar Investment Disputes

By |2026-05-16T12:46:37-04:00May 15th, 2026|Broker / Advisor Investigations|

San Antonio attorney Edward Valdespino is facing multiple lawsuits alleging that millions of dollars were routed through lawyer trust accounts tied to high-yield private investment programs that allegedly failed to deliver promised returns. The litigation highlights growing scrutiny surrounding IOLTA accounts, private placements, and alleged misuse of fiduciary structures in investment transactions.

Read More

Spartan Capital and James Pecoraro Accused of Excessive Trading and “Churning” in FINRA Complaint

By |2026-05-13T08:24:04-04:00May 13th, 2026|Broker / Advisor Investigations, FINRA Arbitration News, Cases & Investor Resources | Sonn Law|

FINRA accused Spartan Capital Securities and broker James Pecoraro of operating excessive trading and churning practices that allegedly generated substantial commissions while causing major investor losses.

Read More

FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervision Failures Tied to Former Broker Edward Turley

By |2026-05-20T08:31:09-04:00May 12th, 2026|Broker / Advisor Investigations, FINRA Arbitration News, Cases & Investor Resources | Sonn Law|

FINRA has fined J.P. Morgan Securities LLC $3.25 million after finding that the firm failed to reasonably supervise a registered representative who recommended a leveraged, concentrated high-yield investment strategy that resulted in steep customer losses. According to FINRA’s April 2026 Letter of Acceptance, Waiver, and Consent, from at least January 2016 through April 2020, J.P. [...]

Read More

Investor recovery and securities fraud attorneys representing investors nationwide.

Speak With an Investor Rights Attorney – 1.844.689.5754

© 2012 - 2026 Sonn Law Group • Investor Intelligence • Securities Fraud • FINRA Arbitration • All Rights Reserved

From strategy to impact.

Contact Info

19495 Biscayne Blvd
Suite 607
Aventura, Florida, 33180

305-912-3000

Go to Top