The complaint is regarding unit investment trusts (UITs) and alleges breach of fiduciary duty, among other violations. The Sonn Law Group is investigating allegations that[...]
Raymond James & Associates
A retired customer allegedly suffered losses due to investments sold to him by Raymond James & Associates in Biscayne Capital. The Sonn Law Group is[...]
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[...]
Joshua Zev Miller (CRD#: 5446289) was associated with USAA Financial Advisors in Phoenix, AZ from 2008 to 2017. In 2018, he was briefly employed at[...]
Mark Tudor (CRD#: 2842516) is a former registered FINRA broker and investment advisor. From 2014 to 2018, Mr. Tudor was employed at Raymond James &[...]
Lynn Faust (CRD#: 729012) is a registered broker and investment advisor. She is currently associated with Stifel, Nicolaus & Company, based at a branch office[...]