According to the Finanical Regulatory Authority (FINRA) John Aloysius Dougherty entered the securities industry in December 1997. In January 2021, Dougherty became associated with LPL[...]
Selling Away
Selling away occurs when a broker inappropriately sells securities that are not offered or overseen by their member brokerage firm. In most cases, brokers engage[...]
William LeBoeuf is accused of using his personal email to solicit a family member to invest in a pooled real estate investment fund, in addition[...]
LaBelle was suspended by FINRA for three months and fined $5,000. The Sonn Law Group is investigating allegations that Jason LaBelle participated in undisclosed outside[...]
Henderson was also charged with failure to disclose tax liens. The Sonn Law Group is investigating allegations that Robert Henderson committed misconduct. If you or[...]
Triad Advisors is currently facing six FINRA customer arbitration complaints relating to sales of GPB Capital. The Sonn Law Group is investigating allegations that brokers[...]
Jason LeBlanc was ordered to pay back clients who bought promissory notes in a coffee shop co-owned by his wife. The Sonn Law Group is investigating[...]
Christopher Kozak consented to sanctions including a six-month suspension from associating with any FINRA member firm and a $10,000 fine. The Sonn Law Group is investigating[...]
GPB Capital has been the subject of multiple regulatory investigations and an FBI referral, leaving investors clueless as to the fate of their investments. The[...]
Shepherd, Smith, Edwards & Kantas filed a lawsuit agains Kalos for pushing clients into private placements, most noteably GPB Capital. The Sonn Law Group is investigating[...]