Dain Stokes was terminated in August 2019 for allegedly selling unregistered promissory notes to clients that purported to invest in an African charity. The Sonn Law[...]
LPL Financial
Case is currently facing two customer disputes alleging concerns over alternative investments. The Sonn Law Group is investigating allegations that Steven Case committed misconduct. If[...]
Booth allegedly defrauded customers over a period of many years through misrepresentations and lies. The Sonn Law Group is investigating allegations that James Booth committed[...]
Adam Lunceford is facing allegations that he recommended unsuitable investments in non-traded REITs. The Sonn Law Group is investigating allegations that Adam Lunceford made unsuitable[...]
Yvonne Silguero is facing multiple allegations stemming from activity between July 2014 and October 2018. The Sonn Law Group is investigating allegations that Yvonne Silguero committed[...]
Michael Olinde is facing allegations that he sold nutritional supplements without providing prior written notice to his member firm, LPL Financial. The Sonn Law Group[...]
David Volpe consented to sanctions by FINRA in August 2019 resulting in a bar from the industry. The Sonn Law Group is investigating allegations that[...]
Jeffrey Vasiloff, terminated by LPL Financial in July 2018, consented to FINRA findings that he exercised discretion in a client’s account without authorization from the client.[...]
Subsequent to his termination by LPL Financial, Christopher Neil Watkins received a customer complaint for “unsuitable investments.” The Sonn Law Group is investigating claims that[...]
Hoffman is accused of selling unregistered GT Media, Inc. securities to 46 investors in at least twelve states. The Sonn Law Group is investigating claims that[...]