The US Securities and Exchange Commission (SEC) has filed charges against Justin Sun, a prominent entrepreneur in the crypto asset space, and three of his companies - Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent) - for violating securities laws through the unregistered sale and offering of crypto asset securities, namely Tronix [...]
The Securities and Exchange Commission (SEC) has filed a complaint against American Patriot Brands Inc. (APB), a company that specializes in cannabis cultivation and distribution, as well as its CEO and five other entities and individuals. The charges stem from a scheme in which more than $30 million was raised from over 100 investors across [...]
INVESTORS: Pennsylvania-based father and son financial advisors Kevin Kane and Sean Kane were charged by the SEC with fraud. The SEC accused Pennsylvania-based father and son duo, Kevin and Sean Kane, with violating the antifraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The SEC alleged that both Kanes were [...]
Miami, FL USA March 23, 2023 - Sonn Law Group is investigating claims involving Alliance Bernstein’s Option Advantage Strategy. Financial advisors with Sanford Bernstein and Alliance Bernstein allegedly encouraged customers and investors to invest in a new complex options strategy titled “Options Advantage” described as “seeking incremental return in a low yield environment.” Investors have [...]
INVESTORS: Aegis Capital broker Thomas Edison Kelly Jr. was named in a customer dispute alleging various forms of misconduct. Thomas Edison Kelly Jr. (CRD: 2877415) is registered as a broker with Aegis Capital where he’s been employed since 2018. Kelly was previously registered as a broker with National Securities Corporation from 2008 until 2018. Kelly [...]
The Securities and Exchange Commission (SEC) has accused Miles Guo, a Chinese businessman in exile, and his financial advisor, William Je, of fraudulent and unregistered offerings that raised over $850 million. The SEC claims that Guo and Je misused a large portion of the funds raised from investors to enrich themselves and their family members. [...]
The Securities and Exchange Commission (SEC) recently took emergency action against BKCoin Management LLC, an investment adviser based in Miami, and one of its principals, Kevin Kang, for allegedly running a fraudulent crypto asset scheme. The SEC successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against BKCoin and Kang. The [...]
INVESTORS: Emerson Equity broker Jeffrey Donald Noard was named in a customer dispute alleging various forms of misconduct. Jeffrey Donald Noard (CRD: 1983392) is registered as a broker with Emerson Equity where he’s been employed since 2020. Noard was previously registered as a broker with Cabot Lodge Securities from 2013 until 2020. Noard has six [...]
Boggs was previously barred by FINRA in 2019 for the same misconduct. The Sonn Law Group is investigating allegations that Marcus Boggs misappropriated funds. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case. Marcus Boggs (CRD#: 5055667) [...]
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