Bluepoint Investment Counsel, LLC, Michael Hull, Christopher Nohl, Greenpoint Asset Management II, LLC, and Chrysalis LLC are named in an SEC complaint in connection with[...]
Broker / Advisor Investigations
Keith Wakefield, former municipal securities principal at IFS Securities, was terminated following allegations of fraud and possible trading improrprieties. The Sonn Law Group is investigating[...]
Joseph Pratt allegedly traded insider information dealing with biopharmaceutical clinical trials in 2013 and 2014. The Sonn Law Group is investigating claims that Joseph Pratt committed[...]
David Manor allegedly helped a client sell mineral rights, accepted more than one-third of the proceeds as a “gift” and convinced the client to open[...]
Strong Investment Management, former Orange County investment adviser firm was previously charged by the SEC for securities fraud for their involvement in the scheme. The Sonn[...]
Paul Mauro, currently a broker associated with SagePoint Financial, Inc. of Massachusetts, has been the subject of nine customer disputes, two regulatory actions, and one[...]
GPB Capital Holdings has been target of two complaints for unsuitably risky investments so far, with hundreds more expected in the future. The Sonn Law Group[...]
The SEC fined Sigma Planning, a Michigan-based RIA, over alleged failures to disclose 12b-1 mutual fund fees. The Sonn Law Group is investigating claims that Sigma[...]
Subsequent to his termination by LPL Financial, Christopher Neil Watkins received a customer complaint for “unsuitable investments.” The Sonn Law Group is investigating claims that[...]
Former broker Scott Gunnip consented to sanctions and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in[...]