FINRA Alleges that Alpine Securities Corporation Converted and Misused Customer Funds Our broker fraud lawyers are investigating allegations of misconduct involving Alpine Securities Corporation. We represent[...]
Broker / Advisor Investigations
The SEC Alleges that Former Merrill Lynch Marcus Boggs Misappropriated Investor Funds Our investment fraud attorneys are currently reviewing claims involving former Merrill Lynch securities representative[...]
History Includes Three Firms Expelled by FINRA Did you lose money investing with Erik Pica? Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct[...]
Sonn Law is investigating Merrill Lynch Broker Peter Huffman. We represent investors in the United States for claims against brokers and brokerage firms for wrongdoing.[...]
Accused of unsuitability by three clients, two of which were settled Sonn Law is investigating Morgan Stanley Broker Nancy Glassman. We represent investors in the United[...]
Potential Client Losses in the Millions Sonn Law is investigating Former Worden Capital Management Broker Gregory Dean. We represent investors in the United States for claims[...]
FINRA barred Mr. Dean from the securities industry after an investigation on August 16th. Sonn Law is investigating Former Worden Capital Management Broker Gregory Dean. We[...]
Voluntarily resigned from his position following allegations regarding his involvement in unauthorized outside business activities Sonn Law is investigating Former Morgan Stanley Broker Ken Kavanaugh.[...]
Crosson has been the subject of several customer disputes that allege unsuitability and misrepresentation Lincoln Financial Services broker James Crosson (CRD#1300425) is the subject of[...]
Subject of Seven Tax Liens/Judgments in 2014 Did you lose money investing with Robert Henderson? Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct[...]