Morgan Stanley is facing sanctions for failing to monitor a former broker’s trading activity. The Sonn Law Group is investigating allegations that Justin Amaral committed[...]
Broker / Advisor Investigations
Jefferey Dyra refused to provide documents and information requested by FINRA when it began an investigation into whether he misappropriated client funds. The Sonn Law Group[...]
Wes Baiz refused to provide documents and information requested by FINRA when it began an investigation into possible irregularities in certain documents pertaining to Norman’s[...]
Eric Pica is under investigation for misappropriation and allegedly providing false testimony. The Sonn Law Group is investigating allegations that Erik Pica committed misconduct. Under[...]
William Hightower was barred by FINRA in 2015 after failing to respond to requests for information. The Sonn Law Group is investigating allegations that William[...]
Stuart Nichols was barred by FINRA after failing to participate in the investigation into his trading activities. The Sonn Law Group is investigating allegations that[...]
Brandon Stimpson has been the subject of multiple customer complaints alleging unsuitable recommendations. The Sonn Law Group is investigating allegations that Brandon Stimpson made unsuitable[...]
Dean Kajouras has been the subject of eight customer disputes over the course of his career. The Sonn Law Group is investigating allegations that Dean Kajouras[...]
Alex Blanco is the subject of multiple customer disputes alleging that he recommended unsuitable investments. The Sonn Law Group is investigating allegations that Alex Blanco[...]
Steven Yellen accepted sanctions following allegations that he exercised discretion in a client’s account without authorization. The Sonn Law Group is investigating allegations that Steven[...]