National investment fraud lawyers KlaymanToskes is investigating Caroline Elizabeth Ehlers, (CRD# 7410093) of Charles Schwab & Co., Inc., after the Lone Tree, Colorado-based stockbroker was named in an Illinois State Securities Department investigation alleging fraudulent or deceitful practices in the purchase or sale of securities.
Investors that suffered losses with Caroline E. Ehlers at Charles Schwab & Co., Inc. are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956, or lklayman@klaymantoskes.com to discuss their recovery options at no cost. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Disclosure: Investors that had self-directed accounts who did not rely on the advice of a financial advisor are not eligible for our services.
According to FINRA’s BrokerCheck Report, Caroline Elizabeth Ehlers has one public disclosure naming her in an investigation initiated by the State of Illinois Secretary of State Securities Department. The disclosure was reported to FINRA by the broker on January 4th, 2023.
The Department’s pending investigation has disclosed evidence indicating Ehlers’ potential violations of the Illinois Securities Law of 1953 and specifically alleges that she engaged in “Fraudulent or Deceitful Practices in the Purchase or Sale of Securities.”
KlaymanToskes believes FINRA arbitration is typically the best course of action for investors that suffered significant losses at their full-service brokerage firms. FINRA arbitration is a more cost-effective process for investors, often occurring with increased speed and efficiency over a court proceeding, allowing investors to maintain greater flexibility over their case.
Former and current customers of Caroline Elizabeth Ehlers who have experienced significant investment losses are encouraged to contact securities attorney Lawrence L. Klayman, Esq. at 1-888-997-9956 or lklayman@klaymantoskes.com for a free and confidential consultation.
Our firm offers legal services on a contingency fee basis, meaning we do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
FINRA (Financial Industry Regulatory Authority) is the self-regulatory body responsible for regulating all U.S. brokers and brokerage firms doing business with customers in the United States and/or other countries.
Financial advisors and their firms are responsible for providing suitable investment advice and may also be liable for a breach of fiduciary duty in the event of a misrepresentation, omission or unsuitable recommendation resulting in losses suffered by the investor.
Financial professionals registered with FINRA have a responsibility to uphold its securities rules, including the following:
FINRA Rule 2010 requires brokerage firms and their registered representatives to “observe high standards of commercial honor and just and equitable principles of trade.”
FINRA Rule 2020 requires that “no member shall effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive, or other fraudulent device or contrivance.”
If you believe your financial advisor violated these rules when making investment recommendations, contact KlaymanToskes for a free, confidential consultation. You can reach our firm at 888-997-9956 or on the web at www.klaymantoskes.com.
KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.
KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.
888-997-9956
lklayman@klaymantoskes.com
www.klaymantoskes.com