Sonn Law Blog

Browse posts from the Sonn Law Group blog below.

• SEC Obtains Judgment Against Issuer and CEO for Unregistered Crypto Asset Securities Offering (10/26/2023)
• SEC Obtains Emergency Relief Freezing Assets of Investment Adviser Charged with Defrauding Elderly Clients (10/26/2023)
• SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised (10/26/2023)
• SEC Order Asset Freeze For Nanban Ventures, LLC (10/18/2023)
• SEC Files Subpoena Enforcement Action Against Elon R. Musk Seeking an Order Compelling his Attendance for Investigative Testimony (10/11/2023)
• SEC Charges Agent Funds and Principals with Fraud and Registration Violations; Settles with Other Agent Funds to Registration Violations (10/11/2023)
• SEC Charges Virginia Resident with Operating a Ponzi Scheme that Targeted Chinese-American Community (10/3/2023)
• SEC Charges Investment Adviser Michael E. Lewitt with Stealing $4.7 Million from Fund Investors (10/3/2023)
• SEC Files Settled Fraud Charges Against New Orleans-Based Auditor and Its Principal (10/3/2023)
• SEC Charges Three Unregistered Dealers with Registration Violations (10/3/2023)
• SEC Charges Convicted Felon with Defrauding Seniors and Making Misleading Statements in SEC Filings (10/3/2023)
• SEC Charges Louisiana-Based Investment Adviser Representative with Cherry-Picking and His Former Firm with Compliance Failures (10/3/2023)
• SEC Charges EB-5 Operator with Securities Fraud (10/3/2023)
• SEC Charges Diagnostic Imaging Company and its former CEO for misrepresenting the manufacturing costs of its flagship device. (10/3/2023)
• SEC Shuts Down Zera Financial LLC Offering Fraud (10/3/2023)
• SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading (10/3/2023)
• SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger (10/3/2023)
• SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance (10/3/2023)
• SEC Charges 10 Firms with Widespread Recordkeeping Failures (10/3/2023)
• SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations (10/3/2023)
• RIA, Owner to Pay $2M to Settle SEC’s Cherry-Picking Charges (9/29/2023)
• SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud (9/28/2023)
• SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme (9/28/2023)
• SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community (9/27/2023)
• SEC Charges Three Southern California Siblings with Insider Trading (9/27/2023)
• SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings (9/27/2023)
• SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors (9/27/2023)
• SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts (9/27/2023)
• SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds (9/27/2023)
• SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme (9/27/2023)
• SEC Charges GTT Communications for Disclosure Failures (9/27/2023)
• SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties (9/27/2023)
• SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations (9/27/2023)
• Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data (9/27/2023)
• SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors (9/27/2023)
• MJ Capital Board Member Gets 9 Yrs For $190M Ponzi Scheme (9/21/2023)
• SEC Charges Financial Professional with Insider Trading in His Company’s Securities (9/19/2023)
• SEC Charges Florida Resident and Resident’s Two Companies for Operating as Unregistered Broker-Dealers (9/19/2023)
• SEC Charges Texas CBD-Inhaler Company and Its CEO in Fraudulent Securities Offerings (9/19/2023)
• SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official (9/19/2023)
• SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule (9/19/2023)
• SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction (9/18/2023)
• SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking (9/15/2023)
• SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs (9/15/2023)
• SEC Charges Nuclear Battery Startup Company and Its CEO with Fraudulently Raising Over $1.2 Million from Investors (9/15/2023)
• SEC Charges Minnesota Based Company and Founder in Alleged Fraudulent Securities Offering (9/15/2023)
• Merriah Harkins Subject of an SEC Investigation into Her Involvement with GWG L Bonds (9/13/2023)
• SEC Bars James Anglim (9/13/2023)
• SEC Charges Fluor Corp. for Accounting Improprieties (9/12/2023)
• Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities (9/12/2023)
• SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules (9/12/2023)
• SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers (9/12/2023)
• SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies (9/12/2023)
• SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors (9/12/2023)
• SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers (9/12/2023)
• SEC Obtains Judgments Totaling More Than $20 Million Against Microcap Company and Related Entity in Fraud Action (9/12/2023)
• The U.S. Securities and Exchange Commission (SEC) Charges China-Based Big Data Analytics Company (9/12/2023)
• The Securities and Exchange Commission (SEC) Obtains Preliminary Injunction and Asset Freeze Against Florida Resident Involved in Ponzi Scheme Targeting Religious Community (9/12/2023)
• The U.S. Securities and Exchange Commission (SEC) Secures Final Judgment Against Canadian Individual in Microcap Fraud Scheme (9/12/2023)
• SEC Charges North Carolina Man and Entities He Controlled with Fraud (9/12/2023)
• SEC Files Settled Fraud Charges Against Los Angeles-Based “Smart Ring” Company and Its Principal (9/12/2023)
• SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers (9/12/2023)
• SEC Charges Five Advisory Firms for Custody Rule Violations (9/6/2023)
• SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate (9/6/2023)
• SEC Charges Internet Message Board User in Alleged Market Manipulation Scheme (9/6/2023)
• SEC Charges North Carolina Man in Fraudulent “Free-Riding” Scheme (8/31/2023)
• SEC Charges Recidivist and Others in Real Estate Offering Fraud (8/31/2023)
• SEC Charges Accountant for Aiding and Abetting a $110 Million Ponzi Scheme and Orchestrating a Separate Fraudulent Scheme (8/31/2023)
• SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses (8/29/2023)
• SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports (8/29/2023)
• SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs (8/29/2023)
• SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary (8/25/2023)
• SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel (8/24/2023)
• SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading (8/23/2023)
• SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations (8/22/2023)
• SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction (8/16/2023)
• SEC Sues Alleged Perpetrators of Fraudulent Multi-Level Marketing Scheme and Unregistered Offering (8/15/2023)
• SEC Obtains Nearly Nine Million Dollar Final Judgment Against Vika Ventures LLC (8/14/2023)
• Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations (8/11/2023)
• Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency (8/10/2023)
• SEC Charges Investment Advisory Firm and Firm’s Owner for Breaching Fiduciary Duties to Clients (8/9/2023)
• SEC Charges Former Hedge Fund Managing Director with Fraud (8/8/2023)
• SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures (8/8/2023)
• SEC Charges Recidivist and Others in Offering Fraud Scheme (8/7/2023)
• SEC Obtains Consent Judgment Against Celebrity Charged with Illegally Touting Crypto Asset Securities for Crypto Entrepreneur Justin Sun (8/7/2023)
• Fund Administrator Charged For Missing Red Flags (8/7/2023)
• SEC Charges Electric Vehicle Company and Former CEO and CFO for Misconduct Related to Spac Transaction (8/4/2023)
• SEC Charges Massachusetts Resident with $1.2 Million Offering Fraud and Ponzi Scheme (8/3/2023)
• SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants (8/3/2023)
• SEC Charges Owners of Broker-Dealer with Aiding and Abetting Violations of Net Capital Requirements (8/2/2023)
• SEC Charges Florida Resident in Connection with Ponzi Scheme Targeting Religious Community (8/2/2023)
• SEC Charges Florida Investment Adviser a Second Time for Insider Trading (8/2/2023)
• SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder (8/1/2023)
• SEC Charges Unregistered Broker for Unlawful Sales of Securities to Retail Investor (7/31/2023)
• SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion (7/31/2023)
• SEC Charges New York Registered Representative with Fraud (7/28/2023)
• SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members (7/27/2023)
• SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading (7/26/2023)
• SEC Files Subpoena Enforcement Action Against Real Estate Broker (7/25/2023)
• SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors (7/24/2023)
• SEC Charges North Carolina Resident for Conducting Fraudulent and Unregistered Offerings of Crypto Asset Securities (7/22/2023)
• SEC Obtains Final Judgments Against Two Oregon Residents and Their Related Entities for Operating a $10 Million Ponzi-Like Scheme (7/21/2023)
• SEC Obtains Final Judgment Against Operator of Multi-Million Dollar Ponzi Scheme (7/20/2023)
• SEC Charges Virginia Man in Fraudulent “Free-Riding” Scheme (7/19/2023)
• SEC Charges Legendary Partners, LLC and its President with Reality TV Offering Fraud Targeting Mostly Elderly Investors (7/18/2023)
• SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities (7/14/2023)
• SEC Charges Former Florida Brokerage Representative with Defrauding Senior and Disabled Customers (7/14/2023)
• SEC Charges Additional Frank Executive with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company (7/14/2023)
• New Hampshire Issuer of Crypto Asset Securities That Violated Registration Requirements Enjoined and Ordered to Pay Penalty (7/13/2023)
• SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange (7/12/2023)
• SEC Seeks to Halt North Carolina-Based Ponzi Scheme (7/12/2023)
• SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports (7/11/2023)
• SEC Obtains Final Judgments Against Former Public Company Chairman and Two Others in Fraudulent Filings and Pump-And-Dump Scheme (7/8/2023)
• SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members (7/7/2023)
• SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability (7/6/2023)
• SEC Brings Emergency Action related to Spartan Trading Company, LLC (7/5/2023)
• SEC Obtains Final Judgments Against Operators of Fake Trading Scheme Known as “EmpiresX” (7/4/2023)
• SEC Charges Former CFO of “Smart” Window Manufacturer, View Inc., for Failure to Disclose Company’s $28 Million Liability (7/3/2023)
• SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme (6/30/2023)
• SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement (6/29/2023)
• SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities (6/29/2023)
• SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud (6/28/2023)
• SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer (6/27/2023)
• Coral Springs man charged in $100 million ponzi scheme (6/27/2023)
• SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community (6/27/2023)
• SEC Charges Former Georgia Investment Adviser in Multipart Offering Fraud (6/23/2023)
• SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud (6/23/2023)
• SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme (6/23/2023)
• SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies (6/22/2023)
• SEC Charges Infinity Q Investment Adviser with Fraud; Seeks Monitor to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Private Fund (6/21/2023)
• SEC Charges Convertible Note Dealer and Its Owner for Failure to Register (6/20/2023)
• SEC Charges Microcap Company, Its CEO, and Former Consultant with Fraud and Registration Violations (6/19/2023)
• SEC Charges PIMCO for Disclosure and Policies and Procedures Failures (6/16/2023)
• SEC Charges Ohio Investment Adviser with Misappropriating Over $1.3 Million from a Retail Investor (6/15/2023)
• SEC Charges Two Individuals in Connection with Fraudulent Scheme to Illegally Sell Stock to the Public (6/14/2023)
• SEC Charges Pennsylvania Man in $30 Million Offering Fraud (6/14/2023)
• A Dealer Who Called Out the Art World’s Lack of Due Diligence Is Himself a Victim of Lisa Schiff’s Alleged Ponzi Scheme (6/13/2023)
• Umpqua Bank Hit with a Second, Multi-Million Dollar Lawsuit Over Alleged Role in Ponzi Scheme (6/13/2023)
• Federal judge certifies class action lawsuit against Eli Lilly (6/12/2023)
• SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme (6/12/2023)
• SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency (6/9/2023)
• SEC Charges Financial Advisor with Fraud for Stealing from Elderly Customers to Pay Personal Expenses (6/8/2023)
• This Bay Area bank ignored $350 million Ponzi scheme despite ‘obvious’ fraud, lawsuit (6/7/2023)
• The class action lawsuit claims that Chase Bank denies reimbursements for Zelle fraud incidents (6/6/2023)
• SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao (6/5/2023)
• SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers (6/1/2023)
• SEC Charges Repeat Securities Law Violator with New Offering Fraud (6/1/2023)
• SEC Charges Self-Proclaimed ‘Queen of Mobile Homes’ and Three Salespeople with Fraud in Mobile Home Investment Scheme (6/1/2023)
• Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric (5/31/2023)
• Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities (5/30/2023)
• SEC Charges Additional Social Media Influencer in Stock Manipulation Scheme (5/26/2023)
• SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud (5/23/2023)
• Class Action Lawsuit Has Been Filed Against Charles River Laboratories International, Inc (5/22/2023)
• Jury Finds Deutsche Bank Liable for $95 Million in International Ponzi Scheme Suit (5/19/2023)
• SEC Obtains Final Judgments Against New York Investment Adviser and Others for Defrauding Investors in a Multi-Million Dollar Ponzi Scheme (5/18/2023)
• SEC Charges Microcap Company and Its Executives with Fraud (5/15/2023)
• SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts (5/15/2023)
• Utah Legislature Poised to Approve Settlement in Federal Grant Misuse Lawsuit (5/12/2023)
• TD Bank Resolves $1.2 Billion Lawsuit Tied to Allen Stanford’s Ponzi Scheme (5/12/2023)
• Deadline nears for Michigan workers to join $20M unemployment fraud settlement (5/11/2023)
• SEC Files Emergency Lawsuit Alleging Fraudulent Offering in Clean Energy Technology Association Case (5/10/2023)
• Wells Fargo Faces Class Action Lawsuit Alleging Assistance to Scam-Running Companies (5/9/2023)
• SEC Charges Florida Resident with Operating $5.9 Million Ponzi Scheme Targeting African-American Community (5/8/2023)
• SEC Alleges Son and Father-In-Law Touted Faith to Target Church Members in $20 Million Offering Fraud (5/4/2023)
• Stanley Black & Decker Faces Securities Class Action Lawsuit for Alleged Violations of Federal Securities Laws (5/2/2023)
• Lawsuit Filed Against Medical Properties Trust (MPW) for Deceptive Practices and Misrepresentation of Financial State (5/1/2023)
• Class Action Lawsuit Filed Against Edgio, Inc. (NASDAQ: EGIO) for Alleged Securities Violations During Class Period and Financial Restatements (4/26/2023)
• Credit Suisse Class Action Lawsuit: Alleged Violations of Securities Exchange Act of 1934 (4/25/2023)
• SEC Files Charges in Fine Wine Investment Fraud Scheme (4/21/2023)
• SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency (4/18/2023)
• Plug Power Faces Lawsuit Over Allegedly False and Misleading Statements Regarding Business Operations (4/14/2023)
• SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes (4/13/2023)
• Dutch Bros faces class-action lawsuit for securities violations (4/12/2023)
• SEC Charges South Carolina Resident with Operating $20 Million Ponzi Scheme (4/10/2023)
• Norfolk Southern Faces Securities Fraud Charges (4/7/2023)
• Sonn Law Group PA Files Arbitration Claim Involving Financial Advisor Caz Craffy and Continues to Investigate Other Potential Claims (4/6/2023)
• Match Faces Lawsuit Over Misleading Statements (4/6/2023)
• SEC Charges Founder of Frank with Fraud in Connection with $175 million Sale of Student Loan Assistance Company (4/4/2023)
• FTX influencers face $1B class-action lawsuit over alleged crypto fraud promotion (4/3/2023)
• Class action suit filed against Silicon Valley Bank parent (4/3/2023)
• Amgen Securities Fraud Class Action Lawsuit (4/3/2023)
• SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients (4/3/2023)
• SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud (4/3/2023)
• SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading (4/3/2023)
• 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)
• 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)