Franks refused to produce information or documents FINRA requested in connection with its investigation into his alleged misconduct. The Sonn Law Group is investigating allegations[...]
First Standard Financial Company
FINRA was conducting an investigation of Davis based on allegations that he engaged in excessive and unsuitable trading. The Sonn Law Group is investigating allegations[...]
Speigel was also fined $5,000 and ordered to pay restitution for the violation. The Sonn Law Group is investigating allegations that Robert Spiegel was engaged[...]
Leahy was the sole principal and compliance officer of Standard Financial Company for the period of alleged misconduct. The Sonn Law Group is investigating allegations[...]
James Bradley Schwartz (CRD#: 3043085) is a previously registered FINRA broker. From December 2016 to February 2017, Mr. Schwartz was employed at Joseph Gunnar &[...]
William Gennity (CRD#: 4913490) is a previously registered securities broker. From October 2014 to November 2018, Mr. Gennity was employed at First Standard Financial Company[...]
Arthur Coffey (CRD#: 2553466) is a registered investment broker. Since 2016, Mr. Coffey has been employed at First Standard Financial Company in Miller Place, New[...]