Former broker Christopher Fulco has been barred by FINRA and charged by the SEC with swindling investors out of at least $1.6 million and using[...]
Broker / Advisor Investigations
Cambridge Capital Group Advisors, LLC, its president Phillip Howard, and former registered investment adviser Don Reinhard have been charged with defrauding investors in two proprietary[...]
FINRA awarded a former client $3 million in damages for investment losses due to failure to supervise its broker, David Blisk. The Sonn Law Group is[...]
Kalos Capital accepted FINRA sanctions following allegations of failure to supervise and train their sole registered representative in order to comply with FINRA Rules and[...]
Lyons was barred by FINRA in 2018 after accepting sanctions based on an investigation by FINRA on behalf of 39 former customers who alleged that[...]
FINRA filed a complaint against Halil Kozi charging him with churning a customer’s account and excessively trading in that customer’s account while associated with PHX[...]
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[...]
Hoffman is accused of selling unregistered GT Media, Inc. securities to 46 investors in at least twelve states. The Sonn Law Group is investigating claims that[...]
Clayton Wertz allegedly created false brokerage account statements to help a client secure and maintain a multi-million dollar bank loan and line of credit. Did you[...]
Mueller and his company Northridge Holdings are the subject of an SEC complaint alleging misuse of investor funds. Did your financial advisor or broker reccomend that[...]