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Jacob Lee Harper Suspended by FINRA for Improper Customer Loans
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Jacob Lee Harper Suspended by FINRA for Improper Customer Loans

FINRA Enforcement Actions

Jacob Lee Harper Suspended by FINRA for Improper Customer Loans

By Jeffrey Sonn|2026-07-17T10:25:45-04:00July 17th, 2026|FINRA Enforcement Actions|

Financial advisors are held to strict ethical and regulatory standards regarding their financial entanglements with clients. FINRA recently suspended former Laguna Niguel, California broker Jacob Lee Harper for 22 months and assessed a deferred fine of $17,500 after he allegedly bypassed these critical safeguards. www.finra.org/rules-guidance/oversight-enforcement/disciplinary-actions The Allegations Without admitting or denying the findings, Harper consented to [...]

FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations
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FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations

FINRA Enforcement Actions

FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations

By Jeffrey Sonn|2026-07-17T09:19:10-04:00July 17th, 2026|FINRA Enforcement Actions|

In one of the most severe regulatory actions of 2026, the Financial Industry Regulatory Authority (FINRA) has expelled the brokerage firm Reid & Rudiger LLC from membership and permanently barred its co-founders, Clifford Reid and CEO Edward Rudiger, Jr. According to FINRA, the firm and its leadership engaged in egregious “churning” and excessive trading in [...]

Texas Church Investment Fraud Alert: Recovery Options for Victims of the Alleged Gracia Church Scheme
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Texas Church Investment Fraud Alert: Recovery Options for Victims of the Alleged Gracia Church Scheme

Investor Alerts

Texas Church Investment Fraud Alert: Recovery Options for Victims of the Alleged Gracia Church Scheme

By Jeffrey Sonn|2026-07-15T13:08:12-04:00July 15th, 2026|Investor Alerts|

Federal prosecutors in North Texas have announced a new indictment against Richard Reinaldo Garcia, an Arlington, Texas resident with ties to several Arlington and Mansfield churches - Gracia Church, in connection with an alleged faith-based investment fraud scheme involving church-related entities. According to the U.S. Attorney’s Office for the Northern District of Texas, Garcia was [...]

SEC Charges 21 Individuals in Alleged Decade-Long Insider Trading Scheme Involving Confidential M&A Information
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SEC Charges 21 Individuals in Alleged Decade-Long Insider Trading Scheme Involving Confidential M&A Information

Investor Alerts, Securities Fraud & Investment Losses

SEC Charges 21 Individuals in Alleged Decade-Long Insider Trading Scheme Involving Confidential M&A Information

By Jeffrey Sonn|2026-07-14T08:22:12-04:00July 14th, 2026|Investor Alerts, Securities Fraud & Investment Losses|

The SEC charged 21 individuals in connection with an alleged decade-long insider trading scheme involving confidential merger and acquisition information misappropriated from global law firms.

First Liberty Building & Loan Collapse: Can Georgia Investors Recover Their Money?
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First Liberty Building & Loan Collapse: Can Georgia Investors Recover Their Money?

Investor Alerts

First Liberty Building & Loan Collapse: Can Georgia Investors Recover Their Money?

By Jeffrey Sonn|2026-07-13T09:32:27-04:00July 13th, 2026|Investor Alerts|

The collapse of First Liberty Building & Loan left roughly 300 investors facing losses of at least $140 million. With a guilty plea now secured and one brokerage firm already paying millions to victims, many investors are asking the most important question: can I recover my money? Here’s what happened, where the case stands, and the legal options available now.

Crypto Fraud and Investment Advisors: How to Spot Scams and Protect Your Money
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Crypto Fraud and Investment Advisors: How to Spot Scams and Protect Your Money

Cryptocurrency, Investor Resources

Crypto Fraud and Investment Advisors: How to Spot Scams and Protect Your Money

By Jeffrey Sonn|2026-07-11T08:01:44-04:00July 10th, 2026|Cryptocurrency, Investor Resources|

Cryptocurrency has created real excitement for investors. The promise of fast growth, new technology, and big returns has drawn in people from all walks of life. But that same excitement has also created a perfect environment for fraud. As more investors turn to financial advisors for help navigating digital assets, a troubling pattern has emerged: [...]

J.P. Morgan Securities Sanctioned by FINRA Over Supervision of Leveraged and Concentrated Trading Strategy
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J.P. Morgan Securities Sanctioned by FINRA Over Supervision of Leveraged and Concentrated Trading Strategy

Broker / Advisor Investigations

J.P. Morgan Securities Sanctioned by FINRA Over Supervision of Leveraged and Concentrated Trading Strategy

By Jeffrey Sonn|2026-07-09T14:25:17-04:00July 9th, 2026|Broker / Advisor Investigations|

Sonn Law is investigating potential investor claims involving J.P. Morgan Securities LLC following a recent FINRA sanction concerning the firm’s supervision of a registered representative who allegedly recommended a high-risk investment strategy involving leverage, concentration, and high-yield securities. According to FINRA’s public BrokerCheck report for J.P. Morgan Securities LLC, the firm was censured and fined [...]

Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision
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Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision

Broker / Advisor Investigations, FINRA Enforcement Actions

Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision

By Jeffrey Sonn|2026-07-09T13:39:38-04:00July 9th, 2026|Broker / Advisor Investigations, FINRA Enforcement Actions|

Sonn Law is reviewing potential investor claims involving Great Point Capital LLC following FINRA disclosures concerning private placement communications, supervision, and alleged misleading statements to retail customers.

SEC Launches New Retail Fraud Working Group as Ponzi-Style and Alternative Investment Scams Evolve
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SEC Launches New Retail Fraud Working Group as Ponzi-Style and Alternative Investment Scams Evolve

Investor Resources, SEC Actions, Securities Fraud & Investment Losses

SEC Launches New Retail Fraud Working Group as Ponzi-Style and Alternative Investment Scams Evolve

By Jeffrey Sonn|2026-07-09T09:37:49-04:00July 9th, 2026|Investor Resources, SEC Actions, Securities Fraud & Investment Losses|

The SEC’s new Retail Fraud Working Group underscores the rising threat of Ponzi-style schemes, alternative investment fraud, and misleading retail investment promotions.

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Jacob Lee Harper Suspended by FINRA for Improper Customer Loans

FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations

Texas Church Investment Fraud Alert: Recovery Options for Victims of the Alleged Gracia Church Scheme

SEC Charges 21 Individuals in Alleged Decade-Long Insider Trading Scheme Involving Confidential M&A Information

First Liberty Building & Loan Collapse: Can Georgia Investors Recover Their Money?

Crypto Fraud and Investment Advisors: How to Spot Scams and Protect Your Money

J.P. Morgan Securities Sanctioned by FINRA Over Supervision of Leveraged and Concentrated Trading Strategy

Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision

SEC Launches New Retail Fraud Working Group as Ponzi-Style and Alternative Investment Scams Evolve

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