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NOTICE TO WELLS FARGO BROKERAGE CLIENTS: KlaymanToskes Launches Investigation into Wells Fargo Advisors’ Envision Investment Analysis Tool, Following $1 Million FINRA Fine for Failing to Supervise Client Presentation Reports

New York, NY  – December 16, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has launched an investigation into Wells Fargo Advisors, a wholly-owned brokerage...

NOTICE TO MERRILL LYNCH PUERTO RICO BOND AND BOND FUND INVESTORS: KlaymanToskes Continues to Investigate FINRA Arbitration Claims against Merrill Lynch for its Margin Lending Practices Related to Concentrated Investments in Puerto Rico Bonds and Bond Funds

San Juan, Puerto Rico--December 5, 2016.  The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to investigate FINRA arbitration claims against Merrill Lynch, a subsidy...

FINRA Fines Broker for Excessive Commissions from Risky Trading Strategies

Released November 2016 Lucas Dylan Lichtman (CRD #5542092, Nanuet, New York) submitted an Offer of Settlement in which he was assessed a deferred fine of...

FINRA Fines Broker $219,000 for Private Placement Violations

Thomas Edward Brenner Jr. (CRD #1489233, Orrville, Ohio) submitted an AWC in which he was assessed a deferred fine of $30,000, suspended from association with...

NOTICE TO CURRENT AND FORMER WELLS FARGO EMPLOYEES AND CUSTOMERS – KlaymanToskes Continues to Investigate Wells Fargo Cross Selling Incentive Programs Following Regulatory Probes

New York, NY – November 4, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to inv estigate Wells Fargo (NYSE:WFC) and its broker dealer, Wells Fargo Advisors, for potential...

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