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Ernest Frerking Terminated: KlaymanToskes Investigates Violations While at Merrill Lynch

Another Broker Permanently Barred After Allegations of Securities Rules Violations Ernest Grey Frerking (CRD# 2588177) was terminated from his employment with Merrill Lynch and has...

David Wilkie Sanctioned: KlaymanToskes Investigates Violations While at Voya

David Wilkie Sanctioned After Allegations of Securities Rules Violations David Wilkie (CRD# 467130) was terminated from his employment with Voya Financial Advisors (“Voya”) and has been...

SEC Sanctions Aegis Capital $2.3 million and Paul Gallivan $25,000 in Civil Penalties for Industry Violations Related to Structured Products

SEC Sanctioned Aegis in Cease and Desist Order On July 28, 2022, Aegis agreed to SEC sanctions in a  cease-and-desist order issued as a result...

David Hixon Terminated: KlaymanToskes Investigates Securities Violations While at Morgan Stanley

Another Broker Indefinitely Suspended After Allegations of Securities Rules Violations David Thomas Hixon (CRD# 4707468) has been indefinitely suspended from working as a financial advisor...

FINRA Sanctions Former Financial Advisor Richard Hogan Over Selling Away Transactions

The Financial Industry Regulatory Authority (FINRA) sanctioned Former Merrill Lynch Financial Advisor Richard Hogan with a 12 month suspension and a $10k fine. The financial...

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