The Securities and Exchange Commission (SEC) has filed a lawsuit against twin brothers and financial advisors, Adam S. Kaplan (CRD#: 6609019) and Daniel E. Kaplan (CRD#: 6609015),[...]
Misappropriation
Frederick Stow was terminated from his position in May 2019 following accusations that he misappropriated funds from customer accounts. The Sonn Law Group is investigating[...]
Barred for refusing to furnish documents and information around his alleged theft Did you lose money investing with Michael Barry Carter? Under FINRA Rules, brokerage firms[...]
Kimberly Kitts Was Sentenced to 87 Months in Prison After Defrauding Investors Out of Millions of Dollars If you’ve lost money investing with Kimberly Kitts or[...]