Maureen Scalzo refused to participate in FINRA’s investigation into possible alteration or falsification of customer forms she submitted. The Sonn Law Group is investigating allegations[...]
Broker / Advisor Investigations
Stephen Klinger allegedly deposited client funds into his own account to trade options, which resulted in a loss of all of the client’s funds. The Sonn[...]
Michael D’Aquila consented to findings stating he was terminated for misconduct related to his personal bank accounts and failure to be forthcoming during the firm’s[...]
Craig Siegel was suspended by FINRA in April 2019 after failing to respond to FINRA’s request for information. The Sonn Law Group is investigating allegations[...]
William Davis is facing allegations that he recommended prohibited securities and mislabeled trades in order to evade firm restrictions. The Sonn Law Group is investigating[...]
Michael Olinde is facing allegations that he sold nutritional supplements without providing prior written notice to his member firm, LPL Financial. The Sonn Law Group[...]
The non-traded real estate investment trust is one of the latest non-traded REITs to experience financial difficulties and announce suspension of dividends. The Sonn Law[...]
David Volpe consented to sanctions by FINRA in August 2019 resulting in a bar from the industry. The Sonn Law Group is investigating allegations that[...]
Rusty Tweed allegedly misrepresented investments and recommended unsuitable investments, based on a client dispute filed in August of 2019. The Sonn Law Group is investigating allegations[...]
Benjamin Lowder Jr. was under investigation by FINRA after it learned of investor-related civil lawsuits alleging unfair and deceptive trade practices. The Sonn Law Group[...]