Finra barred both Plummer and his firm were from the securities industry in 2017 Brokerage firms have a duty to supervise the activity of their brokers[...]
Broker / Advisor Investigations
James Booth allegedly defrauded retail investors resulting in nearly $5 million in losses. This story was last updated on October 25, 2019 after Booth pleaded guilty[...]
Excessive Trading By a Financial Advisor Cost Summit Brokerage Investors More Than $300,000 The Sonn Law Group is investigating allegations that Summit Brokerage Services failed to[...]
Mr. Brown’s FINRA suspension will last eight months If you’ve lost money investing with Fred Brown or Merrill Lynch, you may have a claim. Contact Sonn[...]
Ms. Choate allegedly falsified documents dozens of times in 2014 and 2015 If you’ve lost money investing with Shawna Choate or Spencer Edwards, you may have[...]
Mr. Ile marked solicited trades as “unsolicited” on order tickets If you’ve lost money investing with Curtis Ile or Sigma Financial, you may have a claim.[...]
Heckler is under FINRA investigation for unsuitable recommendations, misrepresentations, and possible misappropriation If you’ve lost money investing with Rand Heckler or Benjamin & Jerold Brokerage,[...]
The broker, Paul Falcon, has had six complaints filed against him during his 22-year career. The Sonn Law Group is currently investigating Paul Falcon for alleged[...]
Mr. Foley allegedly accepted loans from clients If you’ve lost money investing with Patrick Neal Foley or Merrill Lynch, you may have a claim. Contact Sonn[...]
Clients allege $1 million dollars in damages related to unsuitable investments, forgery, and falsifying business reports. If you’ve lost money investing with Leonard Kinsman or Wells[...]