Sonn Law Group is investigating claims on behalf of investors who purchased interests in S2A Modular Corp. or the S2A Investments LLCs. What the SEC Alleges On July 23, 2026, the U.S. Securities and Exchange Commission filed a civil fraud complaint in the U.S. District Court for the Northern District of California (Case No. 5:26-cv-07616) [...]
A three-person FINRA Dispute Resolution Services panel has awarded $509,000 to an investor family in a dispute over syndicated conservation easements, illiquid REITs, and whole life insurance sold by an Atlanta broker-dealer and the way the panel calculated damages may matter as much as the number itself. 💬 “This is an important win for investors, [...]
Sonn Law Group is investigating claims on behalf of investors who suffered losses while working with Matthew “Matt” Gimmelli of Morgan Stanley. Who Is Matthew Gimmelli? Matthew Alfenso Gimmelli (CRD# 2740441) is a Scottsdale, Arizona financial advisor registered as both a broker and investment advisor with Morgan Stanley Smith Barney LLC and Morgan Stanley Private [...]
FINRA ordered Securities America, now part of Osaic Wealth, to pay more than $2 million in customer restitution after finding that the brokerage firm failed to supervise more than 1,000 Class A mutual-fund switches and over 2,000 short-term sales. The Financial Industry Regulatory Authority ordered Securities America, Inc. to pay $2,019,040 in restitution and fined [...]
FINRA ordered Centaurus Financial, Inc. to pay $634,488.56 in customer restitution after finding supervisory failures involving variable annuity exchanges and recommendations. FINRA also suspended Centaurus broker Patrick Michael Carroll for 12 months in connection with unsuitable variable annuity exchanges. The Financial Industry Regulatory Authority has censured and fined Centaurus Financial, Inc. and ordered the brokerage [...]
FINRA’s complaint alleges that excessive trading in 114 customer accounts generated nearly $10 million in trading costs and almost $8 million in investment losses. Investors who held accounts at Spartan Capital Securities may have potential claims for churning, excessive trading, unsuitable recommendations, or failure to supervise. The Financial Industry Regulatory Authority filed a disciplinary complaint [...]
In what federal prosecutors are calling the largest Ponzi scheme in Georgia history, Russell Todd Burkhalter, founder and CEO of Drive Planning LLC, has been sentenced to 20 years in federal prison (AJC). This maximum sentence comes after Burkhalter defrauded more than 2,000 investors out of approximately $380 million. If you or a family member [...]
Financial success during an NFL career does not guarantee financial security after it Reaching the National Football League represents an extraordinary professional achievement. But after the games end, former players can face an equally demanding challenge: making income earned during a relatively concentrated period last for decades. NFL retirement is not comparable to an ordinary [...]
Understanding the Legal Avenues for Loss Recovery When a key promoter dies, civil litigation against that individual directly becomes an estate matter (India Times). However, investment fraud schemes rarely operate in complete isolation. Experienced securities attorneys examine whether secondary parties bear legal or financial responsibility. 1. Claims Against the Estate Victims of alleged misrepresentation can [...]
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