UBS broker Howard Stuart Rothman was recently caught lying during a Finra arbitration proceeding. His perjury was acknowledged by the Finra panel in the arbitration award filing, and he was sanctioned $100k. "This finding that a Finra member lied during arbitration must result in severe sanctions by Finra” – Jeffrey Sonn a nationally known securities [...]
INVESTOR NOTICE: If you are a former client of Morgan Stanely's Shawn Good you may have options for financial recovery. Contact Sonn Law Group today for a free consultation to discuss your options. Sonn Law Group previously reported that former Morgan Stanley advisor Shawn E. Good has been charged by the SEC with running a [...]
INVESTORS: Former Wells Fargo broker Xiangyu Yu Zhang is facing customer disputes alleging unsuitable recommendations. Xiangyu Yu Zhang (CRD#: 5050282) was registered as a broker with Wells Fargo from 2017 until 2019. Zhang was previously registered as a broker with LPL Financial in 2017. Zhang has fourteen disclosures on his BrokerCheck report. One customer dispute [...]
INVESTORS: Network 1 Financial Securities broker Eric Edward Nicolassy was suspended by FINRA following allegations that he excessively and unsuitably traded a senior customer’s account. Eric Edward Nicolassy (CRD: 6244539) is registered as a broker with Network 1 Financial Securities, where he’s been employed since 2020. Nicolassy was previously registered as a broker with Woodstock [...]
INVESTORS: Morgan Stanley broker David Randall Lehnertz was named in a customer dispute alleging he recommended unsuitable investments. David Randall Lehnertz (CRD: 2287146) is registered as a broker and investment adviser with Morgan Stanley, where he’s been employed since 1992. Lehnertz does not have any other securities industry experience. Lehnertz has two disclosures on his [...]
INVESTORS: Martin A. Sumichrast was charged by the SEC with defrauding a company he managed, Stone Street Partners, LLC, and its investors. On May 31, 2022, the SEC announced that it filed charges against North Carolina resident Martin A. Sumichrast for defrauding Stone Street Partners, LLC, a private fund that he managed, and its investors [...]
INVESTORS: Cornerstone Acquisition & Management Company and its principals were charged with fraud by the SEC. On May 27, 2022, the SEC announced that it filed charges against previously registered Rancho Santa Fe, California-based investment adviser Cornerstone Acquisition & Management Company LLC ("Cornerstone"), its chief executive officer, portfolio manager, and chief compliance officer, Derren Lee [...]
INVESTORS: EIA All Weather Alpha Fund I Partners LLC and its owners Andrew Middlebrooks charged with fraud by SEC. On May 25, 2022, the SEC announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M. Middlebrooks, for allegedly engaging in a multi-year scheme that included [...]
INVESTORS: Former Centaurus Financial broker Marc Frederick Korsch is facing customer disputes alleging unsuitable recommendations of GWG L Bonds to customers. Marc Frederick Korsch (CRD#: 5525226) was registered as a broker with Centaurus Financial from 2014 until 2021. Korsch was also registered as a broker with Arkadios Capital from March until September of 2021. Sonn [...]
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