February 3, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is continuing its investigation of financial advisor Todd Anthony Cirella (CRD# 2396336) of Laidlaw & Company, after the law firm filed numerous FINRA arbitration claims alleging Cirella unsuitably recommended investors illiquid alternative investments. Investors that suffered losses with financial advisor Todd Cirella are encouraged to contact attorney Lawrence Klayman at...
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January 28, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bryan Lubitz (CRD# 4884717) formerly of Aegis Capital Corp. Lubitz is currently registered with Equitable Advisors. According to FINRA BrokerCheck, broker Bryan Lubitz is involved in a customer complaint alleging $100,000 in investor damages. The complaint alleges Lubitz misrepresented the risk and potential return of alternative investments....
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January 28, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Joseph Valdini (CRD# 5517610) a/k/a Joseph Francis Valdini, formerly of Aegis Capital Corp. According to FINRA BrokerCheck, broker Joseph Valdini, formerly of Aegis Capital Corp., is currently involved in several pending customer complaints. One complaint alleges $1,277,631 in investor damages due to Churning and violations of...
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January 28, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker George Jing (CRD# 2835725) a/k/a George Ndifor Jing, formerlyof Transamerica Financial Advisors. According to FINRA BrokerCheck, broker George Jing, formerly of Transamerica Financial Advisors, has been permanently barred by FINRA in October 2025 after he refused to provide documents and information requested by FINRA in connection...
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January 28, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eric Bell (CRD# 7015161)a/k/a Eric James Bell of Emerson Equity. According to FINRA BrokerCheck, broker Eric Bell is involved in a customer complaint alleging $542,000 in investor damages. The complaint relates to unsuitable real estate investments at Emerson Equity and alleges Violation of Federal Securities Laws; Violation...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Eduardo Leon Jr. (CRD# 2232647)of Global Financial Services. According to FINRA BrokerCheck, broker Eduardo Leon Jr., of Global Financial Services, has been suspended from acting as a broker by FINRA in relation to the regulator’s investigation into allegations that he borrowed $750,000 from one of his...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Elijah Goble (CRD# 6760147)of Citigroup Global Markets Inc. According to FINRA BrokerCheck, broker Elijah Goble of Citigroup Global Markets is currently involved in a customer complaint alleging $276,189 in damages due to improper handling of the customer’s account. Investors that suffered losses with broker Elijah Goble are...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gary Datta a/k/a Goutam Datta (CRD# 6060441)formerlyof Edward Jones. According to FINRA BrokerCheck, broker Gary Datta is currently involved in a customer complaint alleging $258,993 in damages. The customer alleges various causes of action including breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gustave Schmidt a/k/a Gustave James Schmidt of Investment Network Inc. (CRD# 2709698). According to FINRA BrokerCheck, Gustave Schmidt, a registered representative of Investment Network Inc., is under investigation by the Financial Industry Regulatory Authority (“FINRA”) following allegations that he recommended that 10 of his customers make purchases...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker James Holmes a/k/a James Eugene Holmes III formerly of Wells Fargo Clearing Services (CRD# 2174697). According to FINRA BrokerCheck, James Holmes, a former registered representative of Wells Fargo Clearing Services, was suspended from acting as a broker by FINRA in November 2025, following allegations that he...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lisa Grosskopf (CRD# 3213930)formerlyof Gold Coast Securities. Grosskopf is currently registered with Peak Brokerage Services. According to FINRA BrokerCheck, broker Lisa Grosskopf formerly of Gold Coast Securities is involved in a customer complaint alleging $450,000 in damages due to unsuitable recommendations to purchase an indexed universal life...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Paul Ledesma (CRD# 2379751)a/k/a JP Ledesma of Emerson Equity. According to FINRA BrokerCheck, broker John Paul Ledesma is involved in several customer complaints alleging unsuitable real estate investments at Emerson Equity. Investors that suffered losses with broker John Paul Ledesma are encouraged to contact attorney Lawrence...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eric Lankin (CRD# 4542289) formerly of Morgan Stanley. According to FINRA BrokerCheck, broker Eric Lankin has resigned from Morgan Stanley following allegations related to outside business activities and private securities transaction not reported to the Firm and being named in a customer’s will without notice to the...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Dominic Myers (CRD# 5107939)of Lincoln Capital Inc. and Independent Financial Group. According to FINRA BrokerCheck, broker Dominic Myers of Lincoln Capital Inc. is involved in a customer complaint alleging $300,000 in damages due to unsuitable investment recommendations in light of the customers’ stated investment objectives and risk...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Cohen (CRD# 5083883) formerly of Cetera Investment Services. According to FINRA BrokerCheck, broker David Cohen is involved in a customer complaint alleging misappropriation of funds. Cohen was terminated by Cetera Investment Services in December 2025 following allegations that he was transacting business while under suspension by...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Kyle Critcher formerly of LPL Financial (CRD# 7351555). According to FINRA BrokerCheck, Kyle Critcher, a former registered representative of LPL Financial in Fort Mill, SC, was suspended from acting as a broker by FINRA in December 2025, following allegations that he negligently misrepresented that corporate bonds...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Stephen Farmer of Morgan Stanley (CRD# 6583874). According to FINRA BrokerCheck, broker Stephen Farmer of Morgan Stanley has been involved in a customer complaint alleging that certain features of investing in an exchange fund, including the placement fee and the transfer process were not disclosed prior to...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sam Bhushan (CRD# 4884717) formerly of Cabin Securities. According to FINRA BrokerCheck, broker Sam Bhushan is involved in several customer complaints alleging over $2,000,000 in investor damages. The complaints allegedly relate to real estate securities. Investors that suffered losses with broker Sam Bhushan are encouraged to contact...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker NouaChi Vang (CRD# 5090132) of LPL Financial and NouaChi Vang Financial Services.Vang was previously associated with Vanguard Marketing Corporation, Vanguard Advisers, and Kestra Investment Services. According to FINRA BrokerCheck, broker NouaChi Vang of LPL Financial, and doing business as NouaChi Vang Financial Services, is currently involved in...
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January 27, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sandeep Shrivastava (CRD# 5003823)of TPEG Securities. According to FINRA BrokerCheck, broker Sandeep Shrivastava, of TPEG Securities, is currently involved in several customer complaints alleging over $2,000,000 in collective investor damages. Investors that suffered losses with broker Sandeep Shrivastava are encouraged to contact attorney Lawrence L. Klayman, Esq.,...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Matthew Hurley (CRD# 1682165)of Hurley Wealth Management and Independent Financial Group. According to FINRA BrokerCheck, broker Matthew Hurley of Hurley Wealth Management has been involved in a customer complaint alleging $206,000 in damages due to investment recommendations that were highly risky, foreign, concentrated and not suitable, resulting...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Ryan Murphy (CRD# 4332032) a/k/a Ryan Thomas Murphy, formerly of Truist Investment Services. According to FINRA BrokerCheck, broker Ryan Murphy, formerly of Truist Investment Services, is currently involved in several pending customer complaints. Murphy was permanently barred by FINRA in August 2024 after he refused to...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thomas Prentice of RBC Capital Markets (CRD# 874774). According to FINRA BrokerCheck, broker Thomas Prentice of RBC Capital Markets is involved in a customer complaint alleging $825,000 in damages due to negligence, breach of Reg BI, breach of fiduciary duty, unsuitability, and breach of contract, related mainly...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ehud Gersten (CRD# 7066119)formerly of Emerson Equity. Gersten has also been previously associated with Arkadios Capital and Realta Equities, and is currently registered as a broker with Concorde Investment Services. According to FINRA BrokerCheck, broker Ehud Gersten is involved in three customer complaints alleging approximately $1,783,919 in...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Richard Jirinec (CRD# 2580370) of PHX Financial. According to FINRA BrokerCheck, broker Richard Jirinec is involved in a customer complaint alleging $1,180,000 in damages due to regulation best interest violations. Investors that suffered losses with broker Richard Jirinec are encouraged to contact attorney Lawrence L. Klayman, Esq.,...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sean Vappie (CRD# 5318274) formerly of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Sean Vappie is currently involved in a J.P. Morgan Securities customer complaint alleging $2,100,000 in investor damages. The complaint alleges the registered representative conducted an unapproved outside transaction. Investors that suffered losses with...
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January 26, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Derek Stamos of Somerset Securities (CRD# 6667533). According to FINRA BrokerCheck records, broker Derek Stamos of Somerset Securities has previously been involved in a customer complaint which was settled in favor of the investor for $70,000. The customer alleged an unsuitable recommendation to purchase iCap Equity private...
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January 23, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mahmoud Elawadi of Wells Fargo Advisors and Wells Fargo Clearing Services (CRD# 5319152). According to FINRA BrokerCheck, broker Mahmoud Elawadi of Wells Fargo Clearing Services and Wells Fargo Advisors is facing a pending customer complaint alleging $1,500,000 in alleged damages. The customer alleges the Financial Advisor falsely...
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January 22, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mitchell Jay Stillman a/k/a Mitch Stillman of Wells Fargo Advisors and Wells Fargo Clearing Services (CRD# 1015970). According to FINRA BrokerCheck, broker Mitch Stillman of Wells Fargo Clearing Services and Wells Fargo Advisors is facing a pending customer complaint alleging between $500,000 and $1,000,000 in alleged damages....
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January 22, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lori Iaquinta (CRD# 2393250) of Morgan Stanley. According to FINRA BrokerCheck, broker Lori Iaquinta of Morgan Stanley is currently involved in a customer complaint alleging $4,000,000 in damages. The customer alleges misrepresentation with respect to the rate that they would be charged on their managed account. Investors...
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