Involved in the sale of securities offered by GPB Capital Holdings Sonn Law is investigating Former Kalos Capital Brokers Frederick Baerenz and David Sweat. We represent[...]
Broker / Advisor Investigations
Two pending complaints for alleging unsuitable investments Did you lose money investing with Darren Kubiak? Under FINRA Rules, brokerage firms are liable for their brokers’[...]
Failed to appear at a FINRA hearing for potential sales practice violations Did you lose money investing with James Flynn? Under FINRA Rules, brokerage firms[...]
Finra complaint includes failure to disclose outside business activities, failure to disclose outside accounts, private securities transactions (PSTs), structuring of cash deposits, and making false[...]
Complaint filed for engaging in churning and excessive trading of customer accounts Sonn Law is investigating Former Financial West Broker Daniel Maughan. We represent investors in[...]
Daniel Maughan is facing allegations of churning and excessive trading in a customer’s trust account. The Sonn Law Group is investigating allegations that Daniel Maughan committed[...]
Executed trades between J.P. Turner customers. Sonn Law is investigating Former J.P. Turner Broker Ricky Mantei. We represent investors in the United States for claims[...]
Has a civil complaint and a customer dispute for arbitration Sonn Law is investigating Wedbush Securities Broker Scott Andersen. We represent investors in the United[...]
History of Customer Disputes Alleging Misrepresentation, Unsuitability, and Breach of Fiduciary Duty Did you lose money investing with Mark Jones? Under FINRA Rules, brokerage firms[...]
20 customer disputes dating back to 1998 and over $500,000 paid in aggregate between 14 settlements Sonn Law is investigating Former Raymond James Broker Steven[...]