Shah is accused of engaging in undisclosed and unapproved private securities transactions in the amount of $408,000.00 The Sonn Law Group is investigating allegations that[...]
Northwestern Mutual
Northwestern Mutual was fined $350k for failing to prevent Pearson from transferring client funds into his personal account. The Sonn Law Group is investigating allegations[...]
Kelton allegedly made investment recommendations that were unsuitable for the client. The Sonn Law Group is investigating allegations that Richard Kelton made unsuitable investment recommendations.[...]
FINRA was investigating Chrysadakis for alleged fraudulent activity. The Sonn Law Group is investigating allegations that John Chrysadakis committed fraudulent activity. If you or a[...]
Amanda Justine Sarabia (CRD No. 6437164) was an associated employee at Northwestern Mutual Investment Services LLC. From 2015 to 2018, she was based at the[...]
Donnell Noah Bowen (CRD#: 5641822) is a previously registered securities broker. From 2009 to early 2017, Mr. Bowen was employed at Northwestern Mutual Investment Services[...]