INVESTORS: Ramas Capital Management, LLC and owner Ganesh Betanabhatla were charged by the SEC with fraud. The SEC filed charges against Ramas Capital Management, LLC and its owner, managing partner, and chief investment officer Ganesh Betanabhatla for alleged misrepresentations and breaches of fiduciary duty to a privately-managed fund and its sole investor. The SEC’s complaint [...]
INVESTORS: North Carolina-based executives Gregory Lindberg and Christopher Herwig, as well as their Malta-based registered investment adviser, Standard Advisory Services Limited, were charged by the SEC with defrauding clients out of more than $75 million. North Carolina-based executives Gregory Lindberg and Christopher Herwig, as well as their Malta-based registered investment adviser, Standard Advisory Services Limited, [...]
INVESTORS: Former board member and top sales agent for MJ Capital Funding, LLC, Pavel Ruiz, was charged by the SEC for his role in an alleged $196 million fraud perpetrated by the company. Pavel Ruiz, former board member and top sales agent for MJ Capital Funding, LLC, was charged by the SEC for his role [...]
On June 16, 2022, the U.S. Securities and Exchange Commission filed its first complaint alleging violations of the care obligation and the compliance obligation of Regulation Best Interest, or Reg BI. Under Regulation Best Interests, Broker-Dealers and financial advisors must act in the retail customer’s best interest by complying with the rule’s four component obligations: [...]
Sonn Law Group Announces that it has filed a $1.7 Million lawsuit for a retired NBA player alleging that Argus Capital Ltd. was negligent over its sales of GWG L Bonds and in conducting due diligence of the issuer, GWG Holdings. The lawsuit was filed with the Financial Industry Regulatory Authority, or FINRA. The case [...]
Jump To: Answers for Concerned Investors ↓ Sonn Law Group is Representing Investors Who Have Experienced Losses in GWG Holdings L Bonds Get a Free Consultation Online Or, call us anytime at 305-912-3000 GWG Holdings’ L Bonds are in default and the Wall Street Journal is now reporting that the company has filed for bankruptcy. This [...]
INVESTORS: Former CFD Investments broker Ashley Marie Bolson is facing a customer dispute alleging fraud and non-disclosure, negligent misrepresentation, breach of fiduciary duty, negligence, breach of contract, failure to supervise, and violations of the Iowa Securities Act. Ashley Marie Bolson (CRD#: 5368684) was registered as a broker with CFD Investments from 2016 until 2019. Previously, [...]
INVESTORS: Former Kestra Investment Services broker Herman Laibe Kahn is facing a customer dispute alleging misrepresentation and unsuitable investment recommendations. Herman Laibe Kahn (CRD#: 1866522) was registered as a broker with Kestra Investment Services from 2004 until 2020. Previously, Kahn was registered as a broker with Raymond James Financial from 1997 until 2004. Kahn has [...]
INVESTORS: Kalos Capital broker David Scott Mirolli was named in multiple customer disputes alleging unsuitable investment recommendations related to GPB Capital Holdings. David Scott Mirolli (CRD#: 5116067) is registered as a broker with Kalos Capital, where he’s been employed since 2015. Previously, Mirolli was registered as a broker with Triad Advisors from 2012 until 2015. [...]
Investor recovery and securities fraud attorneys representing investors nationwide.
Speak With an Investor Rights Attorney – 1.844.689.5754
© 2012 - 2026 Sonn Law Group • Investor Intelligence • Securities Fraud • FINRA Arbitration • All Rights Reserved
