Sonn Law Blog » Sonn Law Group

Browse posts from the Sonn Law Group blog below.

SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency (3/29/2023)

SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud (3/28/2023)

Jameson Alan Van Houten, Formerly with Crown Capital Securities, Named in Customer Dispute Alleging Various Forms of Misconduct (3/25/2023)

Avi Bailo, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (3/24/2023)

SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players (3/23/2023)

SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity (3/23/2023)

Financial Advisor Forgery: Understanding the Scenario, Consequences, and Investor Protection Measures (3/23/2023)

Understanding FINRA Arbitration: Types of Claims Customers Can Bring Against Brokerage Firms (3/23/2023)

Ryan Riley, Virginia-Based Investment Advisor, Charged by SEC with Defrauding Customers (3/23/2023)

SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations (3/22/2023)

SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud (3/22/2023)

Kevin and Sean Kane, Father-Son Advisory Team, Charged by SEC for Fraud (3/22/2023)

Attention Investors in Alliance Bernstein LP. Option Advantage Strategy (3/21/2023)

Thomas Edison Kelly Jr., Broker with Aegis Capital, Named in Customer Dispute Alleging Various Forms of Misconduct (3/21/2023)

SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme (3/21/2023)

SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme (3/21/2023)

Jeffrey Donald Noard, Broker with Emerson Equity, Named in Customer Dispute Alleging Various Forms of Misconduct (3/20/2023)

Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation (3/20/2023)

Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation (3/19/2023)

Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony (3/18/2023)

Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away (3/17/2023)

SVB Financial Group Investors File Class Action Lawsuit (3/15/2023)

Losses in SVB Financial Group? Sonn Law Group Invites Investors to Contact the Firm to Discuss Options (3/14/2023)

Can an SEC Lawyer Help Me Recover Investment Losses? (3/9/2023)

SEC: Adam and Daniel Kaplan Inflated Fees, Misappropriated $5M from at Least 60 Clients (3/7/2023)

Insurance Executive Greg Lindberg Indicted, Faces Allegations of Perpetrating $2B Fraud (3/6/2023)

How to Sue a Financial Advisor or Stockbroker Over Investment Losses (3/5/2023)

Reza Hamid Taraz, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations (3/1/2023)

Garrett Wayne Moretz, Broker with Lifemark Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds (2/28/2023)

Caz Craffy Has Been Barred from the Financial Services Industry and Faces Lawsuits from Clients He Allegedly Fleeced (2/28/2023)

Linda Jill Wimsatt, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (2/27/2023)

Thomas Brian Swan, Broker with Western International Securities, Charged by SEC Under Regulation Best Interest for Recommending Unsuitable Investment Recommendations in GWG-L Bonds (2/26/2023)

Scot Barringer, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (2/25/2023)

Lauren Razar Matles, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions (2/24/2023)

Johanna Elise Laudicina, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions (2/23/2023)

Steven Todd Standley, Broker with D.H. Hill Securities, Named in Customer Dispute Alleging Unsuitable Losses in GWG-L Bonds (2/22/2023)

Clark Owen, Broker with Cetera Investment Services, Named in Customer Dispute Alleging Losses in GWG-L Bonds (2/22/2023)

Antoine Nabih Souma – Formerly of Insigneo Securities – Barred from Financial Services Industry (2/21/2023)

Long Island Financial Group Fined by FINRA for Violating Regulation Best Interest (2/20/2023)

Delio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading (2/19/2023)

Leo Li-Yuan Chien, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (2/18/2023)

Peter Girgis, Formerly with SW Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading (2/17/2023)

Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (2/16/2023)

Stephen Robert Coma, Broker with Hilltop Securities, Named in Customer Dispute Seeking $13M in Damages (2/15/2023)

William Worthen King, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unauthorized Trading (2/14/2023)

Shirley Ank Wong, Broker with NI Advisors, Named in Customer Disputes Alleging Failure to Supervise and Unsuitable Recommendations (2/13/2023)

Michele McAdoo Fane, Broker with Cadaret, Grant & Co., Named in Customer Dispute Alleging Failure to Supervise (2/12/2023)

Adam Maggio, Broker with VCS Venture Securities, Named in Customer Dispute Alleging Various Forms of Misconduct (2/11/2023)

Thais Drummond Piotrowski, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (2/10/2023)

Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Barred by FINRA Following Allegations of Participating in Private Securities Transactions (2/9/2023)

SEC Charges Ex-Advisor Joshua W. Coleman with $200M Loan Fraud Scheme (2/9/2023)

Altin Tirana, Broker with LPL Financial, Suspended by FINRA Following Allegations of Falsifying a Representative Code (2/2/2023)

Pawan Kumar Passi, Formerly of Morgan Stanley, Facing Customer Dispute Alleging Misrepresentation (2/1/2023)

Michael Glenn Chandler, Broker with LPL Financial, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Overconcentration (1/31/2023)

Jeffrey Daniel Peyser, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/30/2023)

Michael Vincent Restagno, Broker with Aegis Capital, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/28/2023)

Robert Leo Luley Jr., Formerly of Pruco Securities, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/27/2023)

Palmery Robert Desir, Formerly of Richfield Orion International, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trades (1/26/2023)

Steven Kiyoto Hirata, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Documents and Information (1/25/2023)

FINRA Fines Los Angeles-Based Wedbush Securities for Inadequate Oversight Systems (1/24/2023)

John Nicholas Matson, Formerly of LPL Financial, Barred by FINRA Following Refusal to Provide Documents and Information (1/23/2023)

Cardone Capital Investors May Have Claims for Damages (1/15/2023)

Robert Wyla Melberth, Broker with Emerson Equity, Named in Customer Disputes Alleging Various Forms of Misconduct (1/11/2023)

Edward Joseph Rudiger Jr., Broker with Reid & Rudiger LLC, Named in Customer Dispute Alleging Unsuitable Recommendations and Unauthorized Transactions (1/10/2023)

Ariel Rivero, Broker with Insigneo Securities, Named in Customer Dispute Alleging Various Forms of Misconduct (1/9/2023)

Adam Feierstein, Formerly of ProEquities, Inc., Named in Customer Disputes Following Recommendations of Unsuitable Investments (1/8/2023)

Nicholas Michael Giallourakis, Broker with Newbridge Securities Corporation, Named in Customer Dispute Alleging Various Forms of Misconduct (1/7/2023)

William Randall Moening, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation (1/6/2023)

David Richard Geake, Broker with American Trust Investment Services, Facing Six Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds (1/5/2023)

Michael Jon Binstock, Broker with CreativeOne Securities, Named in Customer Disputes Alleging Broker Misconduct (1/4/2023)

Kimberly Elizabeth Nuessmann, Formerly of Securities America, Suspended by FINRA Following Allegations of Impersonating a Deceased Client (1/3/2023)

John Nicholas Terzis, Formerly of LPL Financial, Barred by FINRA Following Allegations of Borrowing Money From an Elderly Customer (1/2/2023)

What are the Most Common Forms of Stockbroker Fraud? (12/30/2022)

Who are the Best Investment Fraud Lawyers in the United States? (12/29/2022)

How (and When) Can an Attorney Help Me Recover Investment Losses? (12/28/2022)

How a Ponzi Scheme Lawyer Can Help Victims Recover Investment Losses (12/28/2022)

Andrew Fredric Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (12/22/2022)

Keith Michael Dagostino, Broker with Aegis Capital, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (12/21/2022)

John Dennis Lowry, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Failure to Disclose Arbitration Filings and Resolutions (12/20/2022)

UCB Financial Advisors Fined $5.7M by SEC Over Cherry-Picking Charges (12/19/2022)

Howard Hao-Chung Hsieh, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Recommendations and Breach of Fiduciary Duty (12/18/2022)

Michael Murray Knittel, Formerly of Fortune Financial Services, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction Without Firm Approval (12/17/2022)

Adam Tucker Boyce, Broker with Citizens Securities, Named in Customer Disputes Alleging Misrepresentation (12/16/2022)

Timothy Jude Pagliara, Formerly of CapWealth Investment Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Unsuitable Recommendations (12/15/2022)

Martin Bradley Winges, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Misrepresentations and Unsuitable Recommendations (12/14/2022)

What Investors Need to Know About “Selling Away” (12/9/2022)

Michael Richard Rosalia, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Recommendations, Churning, and Other Misconduct (12/8/2022)

14 of the Most Shocking Financial Fraud Cases of the Last Century (12/8/2022)

Jonathan Eric Ellefson, Broker with Intervest International Equities Corporation, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct (12/7/2022)

Clinton Edward Curtright, Broker with Morgan Stanley, Named in $6M Customer Dispute Alleging Misrepresentation and Violation of Regulation Best Interest (12/7/2022)

Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification (12/6/2022)

Dennis Stephen Oleszkowicz, Broker with UBS Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct (12/6/2022)

Scott Erik Aabel, Broker with Spire Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds (12/5/2022)

Morgan Stanley Hit with $11.5M Arbitration Settlement Over Options Strategy Gone Sideways (12/5/2022)

Dana Bruce Vietor, Formerly of CFD Investments, Named in Customer Disputes Alleging Breach of Fiduciary Duty, Unsuitability, and Other Misconduct (12/4/2022)

Matthew Stern Buchsbaum, Broker with UBS Financial Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (12/3/2022)

Adam Jesse Gurien, Broker with Merrill Lynch, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (12/2/2022)

Lawrence Merl, Formerly of David Lerner Associates, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (12/1/2022)

Todd Michael Venturino, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (11/30/2022)

Todd Michael Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (11/29/2022)

Dusty Lynn Sternadel, Formerly of Ameriprise Financial Services, Barred by FINRA Following Failure to Respond to Appear for Testimony (11/28/2022)

Ex-JPMorgan Broker Edward Turley Barred by from Financial Services Industry (11/23/2022)

Michael William Mandarino, Broker with G.A. Repple & Company, Named in Customer Dispute Alleging Unsuitable Recommendations of GWG Holdings Bonds (11/17/2022)

Pamela Denise Lawson, Formerly of Lawson Financial Corporation, Suspended by FINRA Following Failure to Comply with Arbitration Award (11/16/2022)

Amanda Yvonne Berry, Formerly of MML Investors, Barred by FINRA Following Failure to Respond to Request for Information (11/15/2022)

David Del Rio, Formerly of LPL Financial, Barred by FINRA Following Failure to Respond to Request for Information (11/14/2022)

Robert Charles Mehlin, Formerly of Coastal Equities, Suspended by FINRA Following Allegations of Unauthorized Trading (11/13/2022)

David Lyle Bahnsen, Formerly of Hightower Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (11/12/2022)

Sonn Law Group Investigating BlockFi for Freezing Withdrawals (11/11/2022)

William Patrick Gamble, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unauthorized Trades (11/11/2022)

Sonn Law Group PA Investigating Claims for FTX Customers (11/10/2022)

Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (11/9/2022)

John Anthony Sommo, Formerly of UBS Financial Services, Barred by FINRA Following Refusal to Respond to FINRA Requests for Information (11/9/2022)

Charles Vincent Malico, Formerly of Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive Trading (11/8/2022)

Morgan Darby Hill, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (11/6/2022)

Sean Sullivan, Broker with Sovereign Global Advisors, Named in Customer Dispute Alleging Unauthorized Trading (11/5/2022)

Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Allegations of Excessive Trading (11/4/2022)

Dennis David Karjala, Formerly of LPL Financial, Suspended by FINRA Following Allegations of Providing a Guarantee Against Losses (11/3/2022)

How to File a Complaint Against Your Financial Advisor or Stockbroker (11/1/2022)

Robert Morgan Vance, Broker with Moloney Securities Co., Named in Customer Disputes Alleging Unsuitable Recommendations and Negligence (10/30/2022)

Cheryl Lynn Young, Broker with Rockefeller Financial, Named in Customer Dispute Alleging Unsuitable Recommendations (10/29/2022)

Christopher Thomas Fusco, Formerly of Joseph Stone Capital, Named in Customer Dispute Alleging Unsuitable Recommendations and Excessive Trading (10/28/2022)

David Khezri, Formerly of Network 1 Financial Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations (10/27/2022)

Peter Kyung Hoon Rhee, Broker with Cetera Advisors, Facing Customer Disputes Alleging Unsuitable Investment Recommendations and Negligence (10/26/2022)

Anthony Joseph Manougian, Broker with Oppenheimer & Co., Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Other Forms of Misconduct (10/25/2022)

Peter James Fetherson, Formerly of Aegis Capital, Charged by FINRA with Converting Customer Funds (10/24/2022)

Richard Foerster Reynolds, Formerly of SW Financial, Facing Customer Dispute Alleging Churning, Unauthorized Trading, and Fraud (10/23/2022)

Matthew Gates, Broker with VCS Venture Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Excessive Trading (10/22/2022)

SEC Charges the Estate of Stephen Romney Swensen and Crew Capital Group, LLC, with Operating Fraudulent Investment Offering (10/21/2022)

Anthony John Pitta, Broker with Capital Investment Group, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (10/16/2022)

Kenneth James New, Broker with Center Street Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (10/15/2022)

Joseph Albert Ambrosole, Formerly of Joseph Stone Capital, Barred by FINRA After Allegations of Unsuitable Trading (10/14/2022)

Gregory William Melendez, Broker with Laidlaw & Company, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (10/13/2022)

Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct (10/12/2022)

Brian Charles Kennedy, Broker with Cambridge Investment Research, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (10/11/2022)

Jon Paul Cirelli, Broker with Coastal Equities, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violations of Securities Laws (10/10/2022)

Jon Raymond Lee, Broker with AAG Capital, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings (10/9/2022)

Paul Wesley Witthauer, Broker with G.A. Repple & Company, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings (10/8/2022)

Did You Face a Massive Tax Bill Due to Vanguard Target Date Retirement Fund Sell-Off? Recover Your Losses. (10/7/2022)

Bradley Allen Goodbred, Formerly of LPL Financial, Charged by SEC with Stealing from an Elderly Investor (10/6/2022)

SEC Charges James Arthur McDonald, Jr. and His SEC-Registered Investment Adviser Firm, Hercules Investments, LLC with Offering Fraudulent Securities (10/5/2022)

David Sheldon Wells, Formerly of Fifth Third Securities, Charged by SEC with Misappropriating Clients’ Funds (10/4/2022)

SEC Charges California-based Real Estate Investment Firm, Secured Income Group, With $100M Offering Fraud (10/3/2022)

Patrick Cody, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unsuitable Investments, Among Other Misconduct (10/2/2022)

James Parascandola, Broker with Pruco Securities, Named in Customer Dispute Alleging Excessive Trading (9/30/2022)

Charles Frederik Lek, Broker with Lek Securities Corporation, Named in FINRA Complaint Alleging Failure to Supervise (9/29/2022)

Jimmy Yang Driggers, Formerly of Morgan Stanley, Named in Pending Customer Dispute Seeking $4M in Damages (9/28/2022)

Daniel Todd Lerner, Broker with David Lerner Associates, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments (9/26/2022)

Matthew Bahrenburg, Broker with CFD Investments, Named in Customer Dispute Alleging the Sale of Private Investments. (9/25/2022)

James Travis Flynn, Formerly of Voya Financial Advisors, Barred by FINRA Following Failure to Comply with Arbitration Award (9/24/2022)

Jeffrey Daniel Basford, Formerly of David Lerner Associates, Barred by FINRA Following Refusal to Appear for Testimony (9/23/2022)

John Hillman Timberlake, Formerly of Carter, Terry & Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments and Unauthorized Trades (9/22/2022)

Mark Alan Cline, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Alleging Sale of Unsuitable Investments in GWG Holdings (9/21/2022)

Dispute Between TV Host Wendy Williams and Wells Fargo Advisors Intensifies Following Allegations of Refusal to Grant Access to Accounts (9/20/2022)

Daniel Minich, Formerly of Ameriprise Financial Services, Suspended by FINRA Following Participation in Private Securities Transactions (9/19/2022)

Marc Frankel Charged by SEC with Stealing from Clients (9/17/2022)

Ramas Capital Management, LLC and Owner Ganesh Betanabhatla Charged by SEC with Fraud (9/16/2022)

Gregory Lindberg and Christopher Herwig Charged by SEC with Defrauding Clients Out of More Than $75 Million (9/15/2022)

Pavel Ruiz Charged by SEC with Engaging in a Fraudulent Securities Offering and Ponzi Scheme (9/14/2022)

Did Your Financial Advisor Act in Your Best Interests? (9/13/2022)

Sonn Law Group Announce $1.7 Million Lawsuit Over GWG L Bond Sales (9/5/2022)

Losses in GWG Holdings L Bonds? Investors Have Claims for Damages (9/5/2022)

Ashley Marie Bolson, Formerly of CFD Investments, Named in Customer Dispute Alleging Fraud, Negligent Misrepresentation, and Violations of the Iowa Securities Act (9/3/2022)

Herman Laibe Kahn, Formerly of Kestra Investment Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitable Investment Recommendations (9/2/2022)

David Scott Mirolli, Broker with Kalos Capital, Named in Multiple Customer Disputes Alleging Recommendation of Unsuitable Investments (9/1/2022)

Joseph Patrick Roop, Formerly of Dempsey Lord Smith, Named in Customer Dispute Alleging Improper Recommendations and Suitability Issues (8/31/2022)

Stephen Yauman Kwan, Broker with Madison Avenue Securities, Facing Customer Disputes Alleging Unsuitable Recommendation of GPB Capital Investments (8/30/2022)

Jeffrey Adam Miller, Broker with UBS Financial Services, Facing Customer Dispute Alleging Unsuitable Concentration in Gold and Silver (8/29/2022)

John Sebastion Cangialosi, Formerly of SW Financial, Named in Customer Dispute Alleging Churning and Unauthorized Trading, Among Other Misconduct (8/28/2022)

Thomas Wilson Murray, Broker with Wells Fargo, Facing Customer Dispute Alleging He Solicited an Outside Investment Opportunity Unauthorized by His Firm (8/27/2022)

Edward Turley, JP Morgan Face $56M Claim Alleging Misrepresentation and Unsuitable Trading (8/26/2022)

Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (8/26/2022)

Michael James Petyak, Broker with Calton & Associates, Facing Customer Dispute Alleging Lack of Diversification (8/25/2022)

Joseph Lee Moses, Broker with Sentinus-Halo Securities, Facing Customer Dispute Alleging Misconduct (8/24/2022)

Richard Noel Fredette, Formerly of Cantella & Company, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (8/23/2022)

Anthony Mastroianni Charged by SEC with Scamming Investors Out of Over $1M (8/22/2022)

Seth Barnes Stewart, Formerly of Center Street Securities, Named in Customer Disputes Unsuitable Investment Recommendations (8/20/2022)

Scott Jay Matalon, Formerly of RBC Capital Markets, Named in Customer Dispute Alleging Negligence (8/19/2022)

Thomas Paul Tibaldi, Broker with Citigroup Global Markets, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (8/18/2022)

Joseph Ijong Chu, Broker with RBC Capital Markets, Facing Customer Disputes Alleging Unsuitable Concentration of Certain Investments (8/17/2022)

Alpine Securities, Former CEO and Current CEO Charged by SEC with Engaging in Unauthorized Securities Transactions (8/16/2022)

Manish Saini, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction (8/15/2022)

William Word Huthnance, Broker with UBS Financial Services, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/14/2022)

Lawrence William Catena, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/13/2022)

Customers Contacted by Twilio About Data Breach Have Legal Claims (8/12/2022)

Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations (8/11/2022)

Anthony Thomas Megaro, Broker with Park Avenue Securities, Facing Customer Dispute Alleging Forgery of Client Signatures (8/10/2022)

Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud (8/9/2022)

Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony (8/8/2022)

Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products (8/7/2022)

James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (8/6/2022)

Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/5/2022)

Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence (8/4/2022)

Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment (8/3/2022)

Jiaqi Chen, Broker with Cetera Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (8/2/2022)

Jennifer Marcontell, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Failure to Follow Instructions (8/1/2022)

Jason Paul Collichio, Broker with Landolt Securities, Facing Customer Disputes Alleging Unsuitable Investment Recommendations (7/29/2022)

Christopher Michael Setaro, Broker with NPM Securities, Facing Customer Dispute Alleging Failure to Supervise (7/29/2022)

Francis Joseph Velten, Formerly of Ameriprise Financial Services, Named in FINRA Complaint Alleging Failure to Respond (7/26/2022)

Adam Thomas Marquardt, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Testimony (7/25/2022)

Chad Ryan Barancyk, Formerly of First Allied Securities, Suspended by FINRA Following Failure to Respond to Requests for Information (7/23/2022)

Vincent Anthony Virga, Formerly of Madison Avenue Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable Alternative Investments (7/22/2022)

Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation (7/21/2022)

Mark Smith, Formerly of Transamerica Financial Advisors, Barred by FINRA Following Refusal to Appear for Testimony (7/20/2022)

Sonn Law Investigating Financial Advisors Christian Deberadinis and Gianluca Deberardinis (7/20/2022)

Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/19/2022)

Dylan Casey Hales, Broker with Edward Jones, Named in Customer Dispute Alleging False and Misleading Information (7/18/2022)

David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds (7/17/2022)

Michael Alejandro Castillero, Formerly of Windsor Street Capital, Charged by SEC with Operating Ponzi-like Scheme (7/16/2022)

Jeffrey Brian Forehand, Broker with First Allied Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable, High-Risk Investments (7/15/2022)

Todd Dwain Gauthier, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/14/2022)

Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/13/2022)

Camp Lejeune Water Contamination – Class Action Lawsuit (7/13/2022)

Kenneth David Blumberg, Broker with Stifel Nicolaus & Company, Named in Customer Dispute Alleging Recommendations of Unsuitable Investments (7/12/2022)

Thomas James Baumann, Formerly of Spartan Capital Securities, Under Investigation by FINRA Following Allegations of Churning (7/11/2022)

SEC Charges Western International Securities and Several Registered Representatives with Violating Regulation Best Interest Standards (7/10/2022)

Craig Lee Carson, Broker with Intervest International Equities Corporation, Ordered by SEC to Cease and Desist Following Allegations of Breaching Fiduciary Duty (7/10/2022)

Ann Louise Werts, Broker with Madison Avenue Securities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (7/9/2022)

SEC Names Terry Nikopoulos and Other Defendants in Action Alleging Operation of $3 Million Ponzi Scheme (7/8/2022)

SEC Names Multiple Defendants in Action Alleging $450 Million Ponzi Scheme (7/7/2022)

Eric Shea Hollifield, Formerly of LPL Financial, Charged by SEC with Misappropriating Over $1.7M (7/6/2022)

Penny Gail Flippen, Formerly of H.D. Vest Investment Services, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme (7/6/2022)

Britt Franklin Wright, Formerly of Edward Jones, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme (7/6/2022)

Finra Member Caught Lying During Arbitration and Sanctioned $100,000; FINRA Must Immediately Take Action (7/6/2022)

Former Client of Shawn E. Good Files a Lawsuit Against Morgan Stanley for Lack of Supervision (6/10/2022)

Xiangyu Yu Zhang, Formerly of Wells Fargo, Facing Pending Customer Disputes Alleging Unsuitable Recommendations (6/7/2022)

Eric Edward Nicolassy, Broker with Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (6/6/2022)

David Randall Lehnertz, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/5/2022)

SEC Announces Fraud Charges Against Former Investment Adviser and Public Company CEO Martin A. Sumichrast (6/4/2022)

SEC Announces Fraud Charges Against Cornerstone Acquisition & Management Company and Its Principals (6/3/2022)

SEC Announces Fraud Charges Against Detroit-Based EIA All Weather Alpha Fund I Partners LLC (6/2/2022)

Marc Frederick Korsch, Formerly of Centaurus Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations of GWG L Bonds (6/1/2022)

Tobin Carl Hoffmann, Broker with Ameritas Investment Company, Facing Customer Dispute Alleging Misrepresentation Regarding an Investment (5/30/2022)

Randall John Mason, Broker with Cetera Advisors, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment (5/29/2022)

Glen Mackenzie Dowden, Broker with Citizens Securities, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment (5/28/2022)

Steve Jeffrey Cummings, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (5/27/2022)

Arthur Grossbard, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/26/2022)

SEC Obtains Asset Freeze Against StraightPath Venture Partners and StraightPath Management (5/25/2022)

GWG Holdings, Inc. Shares Delisted from Nasdaq Stock Market (5/24/2022)

Michael Joseph Whitaker, Broker with Newbridge Securities Corporations, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/23/2022)

Wells Fargo Ordered to Pay Former Credit Suisse Broker Nearly $1M Following Deferred Compensation Suit (5/23/2022)

Kennister Ulesley Daley, Broker with Allstate Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/22/2022)

Virgil Arthur Biggs, Broker with Avantax Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/21/2022)

Lawrence Merl, Broker with David Lerner Associates, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/20/2022)

Christopher Dyer Queen, Broker with Wells Fargo, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/19/2022)

John August Van Wambeke, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Keep Clients Updated (5/18/2022)

Debra Lynn Clark, Broker with Hornor, Townsend & Kent, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/17/2022)

Thomas Craig Bonds, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/16/2022)

Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Named in Multiple Customer Disputes Alleging Misappropriation and Fraud (5/15/2022)

Nikolay Zotenko, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Engaging in Misleading Marketing of Private Placements (5/14/2022)

Eduardo Moliterno Da Cruz, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses (5/13/2022)

Brokers Sold GWG L Bonds for Years Despite Red Flags (InvestmentNews.com) (5/12/2022)

Daniel Arthur Evans, Broker with Wells Fargo, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (5/12/2022)

Neal Edwin Nakagiri, Formerly of NPB Financial Group, Facing Customer Disputes Alleging Negligence, Unauthorized Trading, and Other Misconduct (5/11/2022)

Kenia Naves Rocha, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses (5/10/2022)

Vincent Bernard Mastrovito, Formerly of J.W. Cole Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations (5/9/2022)

Joseph Langlois, Broker with DFPG Investments, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (5/8/2022)

Michael Walter Mandel, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Participated in a Private Securities Transaction Without Approval (5/7/2022)

Andrew Bruce Elsoffer, Formerly of Stifel, Nicolaus & Company, Suspended by FINRA Following Allegations of Unauthorized Trading (5/6/2022)

Bentley Edward Blackmon, Formerly of Stephens, Suspended Following Allegations of Participation in Private Securities Transactions Without Notice (5/5/2022)

Arkady Ginsburg, Broker with Aegis Capital, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (5/4/2022)

GK Investment Holdings, LLC (“GKIH”) 7% Bonds Will Default if Maturity Date is Not Extended (5/4/2022)

SEC: Synergy Settlement Services Defrauded Personal Injury Victims with Disabilities via Sham Non-profit (5/4/2022)

SEC Charges Morgan Stanley Broker Shawn E. Good with Defrauding Clients in Ponzi Scheme (4/27/2022)

Andrew Perry Hess, Formerly of Ameriprise Financial Services, Facing Pending Customer Dispute Alleging Failure to Diversify Portfolio (4/26/2022)

Emerson Equity and Newbridge Securities Face Customer Complaints Over GWG L Bonds (4/26/2022)

Richard Guy Duncan, Formerly of Ausdal Financial Partners, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (4/25/2022)

Shad Ray Ketcher, Broker with J.W. Cole Financial, Facing Pending Customer Dispute Alleging Unsuitable Recommendations (4/24/2022)

Carlos A. Estima, Broker with Insigneo Securities, Facing Pending Customer Dispute Alleging Investment Losses (4/23/2022)

Paul William Murphy, Broker with Calton & Associates, Facing Pending Customer Disputes Alleging Various Forms of Misconduct (4/22/2022)

Sonn Law Reminds GWG Bondholders to File Their Bankruptcy Claims (4/22/2022)

Allan G. Snider, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (4/21/2022)

Robert C. David, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations David Falsified Customers’ Account Profile Information (4/13/2022)

Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services (4/13/2022)

John Winslow, Formerly of Edward Jones, Barred by FINRA Following Refusal to Provide Information (4/12/2022)

High-Yield Bond Funds Losses: Options for Investors (4/12/2022)

Marianne O’Shee Smith, Formerly of Cetera Advisors, Barred by FINRA Following Diversion of Client Funds (4/11/2022)

SEC Charges California Resident and His Investment Firm for Undisclosed Conflicts of Interest (4/8/2022)

Tony Barouti, Broker with Emerson Equity, Named in Customer Dispute Alleging Losses in Customer Accounts (4/7/2022)

Vincent Leonard Petrangelo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Supervise (4/6/2022)

Jorge Luis Alfonso, Formerly with Snowden Account Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (4/5/2022)

Lance Colby Watson, Broker with Dominion Investor Services, Named in Customer Dispute Alleging Losses in Customer Accounts (4/4/2022)

John Todd Davis, Broker with Edward Jones, Named in Customer Dispute Alleging Failure to Follow Instructions (4/4/2022)

John Dalton Phillips, Formerly with MetLife Securities, Named in Customer Dispute Alleging Misrepresentations and Omissions (4/3/2022)

Kevin Marshall McCallum, Formerly with LPL Financial, Named in Customer Dispute Alleging Overconcentration of Investments (4/2/2022)

Joshua Nathan Helmle, Formerly with Integrity Brokerage, Named in Customer Dispute Alleging Failure to Satisfy Supervisory Duties (4/1/2022)

Mitchell Howard Hirsch, Broker with Fortune Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty (3/31/2022)

Roy Daniel Budd, Broker with Morgan Stanley, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/30/2022)

SEC Obtains Default Judgment Against Former Broker Scott Fries Following Allegations of Defrauding Retail Investors (3/29/2022)

SEC Charges Former New Jersey Broker with Misappropriation of Client Funds (3/28/2022)

FINRA Orders Colorado-based Geneos Wealth Management to Pay $400k (3/22/2022)

Chadwick Collins, Broker with Wedbush Securities, Named in Multiple Customer Disputes Alleging Misconduct in Handling Customers’ Accounts (3/20/2022)

Edmund Paul Murphy, Formerly of Robert W. Baird & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/19/2022)

Faith Read Xenos, Broker with MSEC, LLC, Named in Customer Dispute Alleging Overconcentration in Customers’ Accounts (3/18/2022)

Dustin Chase, Broker with JP Morgan, Named in Customer Dispute Alleging He Conspired With A Third Party to Change A Beneficiary (3/17/2022)

David Sanford Wolfe, Broker with Aaron Capital, Named in Customer Dispute Alleging The Mishandling of An Account (3/16/2022)

Esmeralda Espinoza, Formerly of First Financial Equity, Named in Customer Dispute Alleging Lack of Information (3/15/2022)

Derek Christopher Roy, Broker with Fidelity Brokerage Services, Named in Customer Dispute Alleging He Withheld Material Information (3/14/2022)

George Paul Fill, Broker with Rockwell Financial Group, Named in Customer Dispute Alleging Unauthorized Trades (3/13/2022)

Jason Leonard Garofalo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/12/2022)