The Financial Industry Regulatory Authority (FINRA), through its Department of Enforcement, recently filed a formal disciplinary complaint involving Sutter Securities Inc. (CRD No. 30770) and Keith Charles Moore (CRD No. 5191450). The complaint outlines allegations related to excessive trading, supervisory failures, and compliance deficiencies during a period spanning March 2020 through July 2021. According to [...]

A disciplinary complaint filed by the Financial Industry Regulatory Authority (FINRA) has raised significant regulatory concerns involving Boustead Securities, LLC, Sutter Securities Incorporated, and former executive Keith Charles Moore (CRD #5191450). The complaint focuses on alleged conduct from 2021 to 2023 and centers on supervision, anti-money laundering (AML) compliance, and oversight of investment banking and [...]

According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Shabri G. Moore (CRD# 2894381), a financial professional formerly registered with Commonwealth Financial Network. Investors who worked with Mr. Moore and experienced losses related to variable life insurance products may have questions regarding their potential options. Broker Background FINRA records indicate [...]

According to publicly available FINRA BrokerCheck records, Sonn Law Group is reviewing disclosures involving Harold Reinstein (CRD# 2516822), a securities broker who was formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Broker Background FINRA records indicate that Mr. Reinstein has been registered in the securities industry for more than a decade and has [...]