Wallachbeth Capital allegedly failed to maintain policies to prevent misconduct. The Sonn Law Group is investigating allegations against Wallachbeth Capital for failing to properly maintain[...]
Broker / Advisor Investigations
Mark Cramer is facing allegations of forging a client’s signature on a variable annuity application. The Sonn Law Group is investigating allegations that Mark Cramer[...]
Charles Bridgers is facing allegations that he entered two municipal-securities transactions without customer authorization. The Sonn Law Group is investigating allegations that Charles Bridgers made[...]
Two different claimants are seeking a combined $1.5 million in retirement savings and trust proceeds. The Sonn Law Group is investigating allegations that Crystal Bay[...]
Jamie Westenbarger, Formerly of Securities America, Barred by FINRA for Borrowing Funds from Clients
Jamie Westenbarger is facing allegations that he received a $60,000 from a client. The Sonn Law Group is investigating allegations that Erlloisse Magan committed misconduct. Under[...]
Taylor Capital Management and Triloma Securities set to close for different reasons. The Sonn Law Group is investigating allegations into Taylor Capital Management. Under FINRA[...]
Erlloisse Magan is facing allegations that she engaged in activities with a TD Ameritrade client without prior written notice given to the firm. The Sonn Law[...]
The SEC alleges that unlawful gains in the amount of over $21 million occurred due to the firm’s misconduct. The Sonn Law Group is investigating[...]
Yvonne Silguero is facing multiple allegations stemming from activity between July 2014 and October 2018. The Sonn Law Group is investigating allegations that Yvonne Silguero committed[...]
Rob Burns is facing allegations of overconcentration and recommending unsuitable investments in alternative products. The Sonn Law Group is investigating allegations that Rob Burns committed[...]