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April 5, 2021
FINRA AWC
AWC
FINRA Rule 4511
Kerry Moy
Kerry Moy Suspended By FINRA and Facing Investor Dispute for $14,000,000
March 1, 2021
Customer Complaint
Pending Customer Complaint
Marc Laborde
Options Overlay Strategy
Marc Laborde: Embroiled in Investor Disputes Regarding Unsuitable Options Strategy
February 5, 2021
Customer Complaint
Investor Dispute
Jorge Sonville
outside business activities
Jorge Sonville Involved in Dispute Over $4,000,000 in Alleged Investor Losses
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