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FINRA Files Disciplinary Complaint Involving Sutter Securities Inc. and Former Executive

By |2026-02-11T11:11:32-05:00February 3rd, 2026|FINRA Enforcement Actions|

The Financial Industry Regulatory Authority (FINRA), through its Department of Enforcement, recently filed a formal disciplinary complaint involving Sutter Securities Inc. (CRD No. 30770) and Keith Charles Moore (CRD No. 5191450). The complaint outlines allegations related to excessive trading, supervisory failures, and compliance deficiencies during a period spanning March 2020 through July 2021. According to [...]

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FINRA Complaint Raises Questions About Boustead Securities, Sutter Securities, and Supervisory Oversight

By |2026-02-11T09:55:13-05:00February 3rd, 2026|Broker / Advisor Investigations|

A disciplinary complaint filed by the Financial Industry Regulatory Authority (FINRA) has raised significant regulatory concerns involving Boustead Securities, LLC, Sutter Securities Incorporated, and former executive Keith Charles Moore (CRD #5191450). The complaint focuses on alleged conduct from 2021 to 2023 and centers on supervision, anti-money laundering (AML) compliance, and oversight of investment banking and [...]

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Investment Loss Options for Clients of Former Commonwealth Financial Network Broker Shabri G. Moore

By |2026-02-11T09:47:28-05:00February 3rd, 2026|Broker / Advisor Investigations|

According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Shabri G. Moore (CRD# 2894381), a financial professional formerly registered with Commonwealth Financial Network. Investors who worked with Mr. Moore and experienced losses related to variable life insurance products may have questions regarding their potential options. Broker Background FINRA records indicate [...]

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How to Recover Investment Losses Through FINRA Arbitration

By |2026-05-20T09:16:40-04:00February 3rd, 2026|FINRA Arbitration Attorney|

When investors experience significant losses due to broker misconduct or unsuitable investment advice, the first question is often simple and urgent: Is there a way to recover what was lost? For many investors, the answer lies in FINRA arbitration, a dispute resolution process designed specifically for claims against brokerage firms and financial advisors. Understanding how [...]

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Invested With Arete Wealth Management Broker Walter Nelson? What You Should Know

By |2026-02-10T17:10:33-05:00February 2nd, 2026|Broker / Advisor Investigations|

According to publicly available FINRA BrokerCheck (https://brokercheck.finra.org/) records, Sonn Law Group is reviewing disclosures involving Walter Nelson (CRD# 2275929), a securities broker who was formerly associated with Arete Wealth Management, LLC and Arete Wealth Advisors, LLC. Investors who worked with Mr. Nelson and suffered losses may have questions about their legal options and whether recovery [...]

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Emerson Equity LLC Broker Thomas Justice Accused of Unsuitable Investment Recommendations

By |2026-02-10T16:56:25-05:00February 2nd, 2026|Broker / Advisor Investigations|

Did you lose money investing with Emerson Equity LLC broker Thomas Justice (CRD# 2786145)? Sonn Law Group is currently investigating potential claims involving Mr. Justice regarding allegations of unsuitable investment recommendations. Thomas Justice has been registered with Emerson Equity LLC in San Mateo, California, since 2020. His previous registrations include: Conover Capital Management, Bellevue, WA (2018–2020) Conover Securities [...]

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Great Point Capital LLC Broker Joseph Kocsis Under Investigation for Investment Losses

By |2026-02-09T20:13:47-05:00February 2nd, 2026|Broker / Advisor Investigations|

Sonn Law Group is currently investigating potential legal claims involving Joseph Kocsis (CRD# 2423884), a registered broker with Great Point Capital LLC. According to his FINRA CRD report, Mr. Kocsis has been the subject of multiple customer disputes involving high-value real estate investments. Joseph Kocsis has been registered with Great Point Capital LLC in Chicago, [...]

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Stifel Nicolaus Broker Edward Villanyi Faces $100,000 Complaint for Unauthorized Trading

By |2026-02-09T19:45:50-05:00February 2nd, 2026|Broker / Advisor Investigations|

A recently disclosed customer dispute alleges that Edward Villanyi liquidated a client’s investment without authorization and used the proceeds to purchase mutual funds. Unauthorized trading is a serious violation of industry rules and may entitle affected investors to financial recovery. Who Is Edward Villanyi? Edward “Ed” Villanyi has more than 30 years of experience in [...]

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Newbridge Securities Broker James Cox Subject of Five Customer Disputes & FINRA Suspension

By |2026-02-04T14:03:43-05:00February 2nd, 2026|Broker / Advisor Investigations|

Sonn Law Group is investigating potential claims of broker misconduct involving James Cox (CRD# 2365633). Currently associated with Newbridge Securities Corporation in Boca Raton, Florida, Mr. Cox’s professional record includes a FINRA suspension, a termination for "lack of confidence," and multiple high-value customer disputes. A Pattern of Disclosures: What Investors Need to Know James Cox [...]

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