Dewes was being investigated by FINRA based on potential participation in undisclosed private securities transactions and outside business activities. The Sonn Law Group is investigating[...]
Pyne has been named in four customer disputes that have been settled against him. The Sonn Law Group is investigating allegations that Jonathan Pyne committed[...]
D’Andria allegedly recommended unsuitable NT-ETPs to his clients. The Sonn Law Group is investigating allegations that Robert D’Andria made unsuitable investment recommendations. If you or[...]
A customer filed a dispute against Sica based on allegations of unsuitability and negligent supervision. The Sonn Law Group is investigating allegations that Anthony Sica[...]
Flower was named in a FINRA complaint alleging unauthorized trades and causing inaccuracies in his firm’s books and records. The Sonn Law Group is investigating[...]
Lu allegedly was named as the beneficiary of 75 percent of the woman’s estate. The Sonn Law Group is investigating allegations that Steve Jun Lu[...]
Hetrick was being investigated by FINRA in connection with allegations of potential forgeries by him of customer signatures. The Sonn Law Group is investigating allegations[...]
James allegedly formed and incorporated a company and failed to report such information to his member firm. The Sonn Law Group is investigating allegations that[...]
Coogan allegedly misrepresented material facts in agreements he signed in connection with loans his customers obtained from multiple banks. The Sonn Law Group is investigating[...]
Martin was barred after failing to respond to two requests for information and documents by FINRA. The Sonn Law Group is investigating allegations that Ashley[...]