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 [...]
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 [...]
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, [...]
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 [...]
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 [...]
Did you suffer investment losses due to recommendations by Wedbush Securities Inc. broker Raymond Chow (CRD# 2860124)? Sonn Law Group is currently reviewing disclosures and customer complaints involving Mr. Chow, who has been registered with Wedbush Securities Inc. in Elk Grove, California, since 2008. Investors who experienced losses may have legal recourse through FINRA arbitration. [...]
Borrowing money from a customer is one of the most tightly restricted activities in the securities industry, given the conflicts and supervisory risks it creates. A recent enforcement action by the Financial Industry Regulatory Authority (FINRA) involving broker Eduardo Leon (CRD #2232647) highlights how seriously regulators view undisclosed financial relationships between brokers and their clients. [...]
Recent regulatory and customer dispute developments involving Patrick Alexander Moriarty (CRD #4764378) have raised concerns about client authorization, supervision and internal compliance controls at major brokerage firms. Moriarty, a former registered broker previously associated with UBS Financial Services Inc. and Citigroup Global Markets, is no longer registered in the securities industry. The issues arose from [...]
The Financial Industry Regulatory Authority (FINRA) has sanctioned former LPL Financial broker Kyle Ray Critcher (CRD #7351555) after finding he negligently misrepresented the nature of investments he recommended to senior customers. According to FINRA, Critcher falsely described corporate bonds as FDIC-insured certificates of deposit (CDs), a misstatement that materially altered the risk profile of the [...]
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
