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Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation
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Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation

Broker / Advisor Investigations

Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation

By Jeffrey Sonn|2024-06-10T19:30:31-04:00March 19th, 2023|Broker / Advisor Investigations|

INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named in multiple customer disputes alleging unsuitability and misrepresentation with respect to investment recommendations. Scott Michael Rosenberg (CRD#: 2754292) is registered as a broker with UBS Financial Services, where he’s been employed since 2015. Previously, Rosenberg was registered as a broker and investment adviser with Credit [...]

Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony
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Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony

Broker / Advisor Investigations

Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony

By Jeffrey Sonn|2024-06-10T19:40:52-04:00March 18th, 2023|Broker / Advisor Investigations|

INVESTORS: Former Morgan Stanley broker Miche Jean was named in a complaint by FINRA alleging failure to appear for testimony. Miche Jean (CRD: 5918186) was registered as a broker with Morgan Stanley from 2015 until 2020. Jean has no other securities experience. Jean has seven disclosures on his BrokerCheck report. One customer dispute filed against [...]

Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away
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Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away

Broker / Advisor Investigations

Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away

By Jeffrey Sonn|2024-11-27T14:28:44-05:00March 17th, 2023|Broker / Advisor Investigations|

INVESTORS: Former PFS Investments broker Kevin Andrew Hobbs was barred by FINRA following allegations of trading away. Kevin Andrew Hobbs (CRD: 4267482) was registered as a broker with PFS Investments from 2001 until 2022. Hobbs has no other securities experience. Hobbs has seven disclosures on his BrokerCheck report. One customer dispute filed against Hobbs was [...]

SVB Financial Group Investors File Class Action Lawsuit

By Jeffrey Sonn|2025-05-15T15:21:30-04:00March 15th, 2023|Investment Loss Investigations|

Silicon Valley Bank, its CEO Greg Becker, and CFO Daniel Beck are facing a class action lawsuit for failing to disclose the potential risks of future interest rate hikes on its business. Filed in the U.S. district court for the Northern district of California, the lawsuit seeks unspecified damages for those who invested in SVB [...]

Losses in SVB Financial Group? Sonn Law Group Invites Investors to Contact the Firm to Discuss Options

By Jeffrey Sonn|2025-05-15T15:21:13-04:00March 14th, 2023|Investment Loss Investigations|

Sonn Law Group, PA – a nationwide investor and consumer protection law firm – announces that it is conducting an investigation on behalf of investors who purchased stock in SVB Financial Group (NASDAQ: SIVB). If you acquired stock in SVB Financial Group and wish to explore your potential claim, please submit your details below for a [...]

Can an SEC Lawyer Help Me Recover Investment Losses?
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Can an SEC Lawyer Help Me Recover Investment Losses?

Popular Articles, Securities & Investment FAQ

Can an SEC Lawyer Help Me Recover Investment Losses?

By Jeffrey Sonn|2023-03-09T13:02:21-05:00March 9th, 2023|Popular Articles, Securities & Investment FAQ|

If you've suffered significant investment losses as the result of securities fraud you should consult with an SEC attorney about your case. A qualified securities lawyer will be able to review the specific details of your case in order to determine precisely what action needs to be taken to protect your legal rights and financial [...]

SEC: Adam and Daniel Kaplan Inflated Fees, Misappropriated $5M from at Least 60 Clients

By Jeffrey Sonn|2024-11-27T15:23:28-05:00March 7th, 2023|Broker / Advisor Investigations|

The Securities and Exchange Commission (SEC) has filed a lawsuit against twin brothers and financial advisors, Adam S. Kaplan (CRD#: 6609019) and Daniel E. Kaplan (CRD#: 6609015), for misappropriating more than $5 million from at least 60 advisory clients. Client of Adam or Daniel Kaplan? Discuss your legal options with an attorney at Sonn Law Group Get [...]

Insurance Executive Greg Lindberg Indicted, Faces Allegations of Perpetrating $2B Fraud

By Jeffrey Sonn|2025-05-08T10:38:33-04:00March 6th, 2023|BLOG|

"The indictment indicates a massive fraud by Greg Lindberg and others, which ultimately harmed investors and policyholders. Sonn Law represents investors who were harmed by Lindberg’s alleged scheme." Attorney Jeff Sonn, Sonn Law Group Click to download the full text of the indictment. Greg E. Lindberg, a former insurance executive from North Carolina, has been [...]

How to Sue Your Financial Advisor Over Investment Losses
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How to Sue Your Financial Advisor Over Investment Losses

Popular Articles, Securities & Investment FAQ

How to Sue Your Financial Advisor Over Investment Losses

By Jeffrey Sonn|2026-01-08T15:10:25-05:00March 5th, 2023|Popular Articles, Securities & Investment FAQ|

Key Takeaways Can you sue a financial advisor? You may be able to sue a financial advisor if they caused financial harm through negligence, misconduct, fraud or breach of fiduciary duty. When does a lawsuit apply? Claims may arise if an advisor makes unsuitable investment recommendations, misrepresents or omits material risks, fails to disclose conflicts [...]