Blogs

Important Notice to UBS Customers: KlaymanToskes Continues to Pursue Arbitration Claims Against UBS For Losses Sustained in Lehman Brothers 100% Principal Protection Notes In Light of FINRA’s Restitution Order of Only $8.25 Million

April 11, 2011
Securities Arbitration

The Securities Arbitration Law Firm of KlaymanToskes announced today that The Financial Industry Regulatory Authority (“FINRA”) has fined UBS Financial Services, Inc. (NYSE: UBS) $2.5...

Broker-Dealers Sanctioned by FINRA For Lack of Due Diligence

April 11, 2011
Securities Arbitration

The following story appeared on the Dow Jones Newswire: The Financial Industry Regulatory Authority on Thursday sanctioned two firms and seven people for selling private...

Ameriprise unit nears $50 million settlement

March 31, 2011
Securities Arbitration

Securities America allegedly hawked securities without fully informing investors of the risks. By CHRIS SERRES, Star Tribune A brokerage firm owned by Ameriprise Financial Inc....

FINRA Fines Southwest Securities, Inc. $650,000 for Compliance Failures That Permitted Correspondent Firm Cutler Securities to Cause a $6.3 Million Single-Day Loss Through Improper Short Sales

March 23, 2011
Securities Arbitration

Yesterday, the Financial Industry Regulatory Authority ("FINRA") announced that it fined Southwest Securities, Inc., of Dallas, $650,000 for deficiencies in due diligence, risk assessment and...

Goldman Sachs Hudson CDO Securities

March 01, 2011
Securities Arbitration

Our law firm is investigating potential claims on behalf of Goldman Sachs customers who sustained losses in Hudson CDO Securities, including Hudson Mezzanine Funding 2006-1,...