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Blogs

FINRA Fines Eight Firms a Total of $6.2 Million for Supervisory Failures Related to Variable Annuity L-Shares

Released November 2, 2016 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined eight firms, including VOYA Financial Advisors, five...

NOTICE TO WELLS FARGO AND MORGAN STANLEY CLIENTS – KlaymanToskes Investigates Cross Selling Incentive Programs Following FINRA Targeted Examination Letter to Brokerage Industry

New York, NY – October 31, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has opened an industry-wide investigation of brokerage firms into...

FINRA Submits Rule to SEC to Protect Against Elderly Financial Fraud

The Financial Industry Regulatory Authority (FINRA) has submitted new rule changes for the Securities Exchange Commission (SEC) to approve which is designed to help prevent...

SEC Bars LPL Financial advisor, Paul Lebel for Churning Client Mutual Fund Investments

On October 18, 2016, the Securities Exchange Commission (SEC) barred LPL Financial advisor, Paul Lebel for churning and excessively trading mutual funds in customer accounts...

NOTICE TO WELLS FARGO BROKERAGE CUSTOMERS — The Securities Arbitration Law Firm of KlaymanToskes Continues Wells Fargo Advisors Investigation — California AG Issues Search Warrant

New York, NY -- October 21, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to investigate Wells Fargo Advisors for potential Financial...

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