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Michael Murray Knittel, Formerly of Fortune Financial Services, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction Without Firm Approval

By |2022-12-27T15:38:25-05:00December 17th, 2022|Broker / Advisor Investigations|

INVESTORS: Former Fortune Financial Services broker Michael Murray Knittel was suspended by FINRA following allegations he participated in a private securities transaction involving a $245,000 investment, without providing prior written notice to his member firm. Michael Murray Knittel (CRD: 3274235) was registered as a broker with Fortune Financial Services from 2015 until 2021. Previously, Knittel [...]

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Adam Tucker Boyce, Broker with Citizens Securities, Named in Customer Disputes Alleging Misrepresentation

By |2022-12-27T15:08:17-05:00December 16th, 2022|Broker / Advisor Investigations|

INVESTORS: Citizens Securities broker Adam Tucker Boyce was named in multiple customer disputes alleging misrepresentation. Adam Tucker Boyce (CRD: 6195379) is registered as a broker and investment adviser with Citizens Securities, where he’s been employed since 2019. Previously, Boyce was registered with PNC Investments from 2013 until 2018. Boyce has two disclosures on his BrokerCheck [...]

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Timothy Jude Pagliara, Formerly of CapWealth Investment Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Unsuitable Recommendations

By |2022-12-27T14:25:58-05:00December 15th, 2022|Broker / Advisor Investigations|

INVESTORS: Former CapWealth Investment Services broker Timothy Jude Pagliara was named in a customer dispute alleging breach of fiduciary duty and unsuitable recommendations. Timothy Jude Pagliara (CRD: 733637) was registered as a broker with CapWealth Investment Services from 2009 until 2018. Previously, Pagliara was registered as a broker with NBC Securities from 2002 until 2008. [...]

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Martin Bradley Winges, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Misrepresentations and Unsuitable Recommendations

By |2022-12-27T14:16:31-05:00December 14th, 2022|Broker / Advisor Investigations|

INVESTORS: Momentum Independent Network broker Martin Bradley Winges was named in a customer dispute alleging misrepresentations, omissions, and unsuitability. Martin Bradley Winges (CRD: 1929509) is registered as a broker and investment adviser with Momentum Independent Network, where he’s been employed since 2019. Previously, Winges was registered as a broker with Piper Jaffray & Co. from [...]

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What Investors Need to Know About “Selling Away”

By |2023-01-04T11:09:29-05:00December 9th, 2022|Popular Articles, Securities & Investment FAQ|

Selling away occurs when a broker inappropriately sells securities that are not offered or overseen by their member brokerage firm. In most cases, brokers engage in selling away for two reasons: To avoid scrutiny from their brokerage firm’s compliance department; To chase high commissions associated with extremely risky investments. Regardless of why a broker chooses [...]

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Michael Richard Rosalia, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Recommendations, Churning, and Other Misconduct

By |2022-12-08T19:56:03-05:00December 8th, 2022|Broker / Advisor Investigations|

INVESTORS: Former SW Financial broker Michael Richard Rosalia was named in a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, and fraud. Michael Richard Rosalia (CRD: 2323953) was registered as a broker and investment adviser with SW Financial from 2021 until 2022. Previously, Rosalia was registered as a broker with [...]

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14 of the Most Shocking Financial Fraud Cases of the Last Century

By |2026-01-05T11:14:16-05:00December 8th, 2022|BLOG|

For over three decades Sonn Law Group has dedicated our practice to helping victims of financial fraud hold wrongdoers accountable, and recoup their losses. We've achieved multi-million dollar settlements for victims involved in some of the most egregious cases of financial wrongdoing over the past 50 years. Needless to say, we've seen it all when [...]

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Jonathan Eric Ellefson, Broker with Intervest International Equities Corporation, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct

By |2022-12-14T07:17:50-05:00December 7th, 2022|Broker / Advisor Investigations|

INVESTORS: Intervest International Equities Corporation broker Jonathan Eric Ellefson was named in a customer dispute alleging breaches of fiduciary duty, negligent misrepresentations, gross negligence, violation of FINRA Rules, negligent supervision, breach of contract, and fraud. Jonathan Eric Ellefson (CRD: 1625977) is registered as a broker and investment adviser with Intervest International Equities Corporation, where he’s [...]

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Clinton Edward Curtright, Broker with Morgan Stanley, Named in $6M Customer Dispute Alleging Misrepresentation and Violation of Regulation Best Interest

By |2024-10-30T16:44:30-04:00December 7th, 2022|Broker / Advisor Investigations|

INVESTORS: Morgan Stanley broker Clinton Edward Curtright was named in a customer dispute alleging misrepresentation and Regulation Best Interest. Clinton Edward Curtright (CRD: 5921560) is registered as a broker and investment adviser with Morgan Stanley, where he’s been employed since 2014. Previously, Curtright was registered as a broker with Callan Capital from 2011 until 2014. [...]

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