July 11, 2025 | Broker / Advisor Investigation
Terry Sloan Thompson (CRD# 2588490), a former broker with Truist Investment Services, has been named in over 39 investor complaints, with at least 33 resulting in financial settlements totaling more than $5.5 million, according to FINRA BrokerCheck. These disputes span from 2022 to 2025, with the vast majority occurring in 2024 and 2025—and more allegations...
Read More July 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Aubrey Parker of Wells Fargo Advisors and Wells Fargo Clearing Services (CRD# 2454088). According to FINRA BrokerCheck, Aubrey Parker of Wells Fargo Clearing Services and Wells Fargo Advisors is facing a customer complaint alleging approximately $140,000 in estimated damages, in connection with unsuitable trades into speculative preferred...
Read More July 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Rudio (CRD# 6322313) formerly of LPL Financial. Broker Michael Rudio is currently associated with Purshe Kaplan Sterling Investments. According to FINRA BrokerCheck, broker Michael Rudio is currently involved in a customer complaint alleging unsuitable recommendations to invest in structured products and breach of fiduciary duty. Investors...
Read More July 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Bangerter (CRD# 1687028) of Concorde Investment Services. According to FINRA BrokerCheck, broker Jeffrey Bangerter of Concorde Investment Services is facing a customer complaint alleging $300,000 in damages due to unsuitable recommendations to invest in DPP& LP Interest investments. Investors that suffered losses with broker Jeffrey Bangerter...
Read More July 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Walter Schram (CRD# 1728096) formerly of UBS Financial Services Inc. Schram is currently registered as a broker and investment advisor with Ameriprise Financial Services. According to FINRA BrokerCheck, broker Walter Schram, formerly of UBS Financial Services Inc. is currently facing a customer complaint alleging $300,000 in damages...
Read More July 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lanny Howarter (CRD# 813591) formerly of Crown Capital Securities. According to FINRA BrokerCheck, broker Lanny Howarter, formerly of Crown Capital Securities, is facing a customer complaint alleging $325,000 in investor damages due to unsuitable recommendations to invest in alternative investments, including oil&gas securities. Investors that suffered losses...
Read More July 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chadwick Watson (CRD# 2183286) formerly of Lincoln Financial Advisors (now known as Osaic FA). Watson is currently registered as a broker and investment advisor with LPL Financial. According to FINRA BrokerCheck, broker Chadwick Watson is currently involved in several customer complaints alleging unsuitable recommendations to invest in...
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tami Wihlen (CRD# 2712926) of Ashton Thomas Securities. According to FINRA BrokerCheck, broker Tami Wihlen of Ashton Thomas Securities is currently involved in a customer complaint alleging $379,560 in damages due to beneficiary designations that were allegedly not properly documented, causing financial harm to the customers. Investors...
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ralph Ganchero (CRD# 2601660) of Citigroup Global Markets Inc. According to FINRA BrokerCheck, broker Ralph Ganchero of Citigroup Global Markets is currently involved in a customer complaint alleging $100,000 in damages due to a recommendation to liquidate and transfer funds from an IRA to Citi, and allegations...
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lilly Han a/k/a Lin Han (CRD# 6781075) of Landolt Securities. According to FINRA BrokerCheck, broker Lilly Han of Landolt Securities is currently involved in a customer complaint alleging $180,890 in investor damages due to negligent misrepresentation and breach of fiduciary duty with regard to two private placements....
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chris Hayes (CRD# 2333190) a/k/a Christopher Martin Hayes of Fifth Third Securities. According to FINRA BrokerCheck, broker Chris Hayes of Fifth Third Securities is currently involved in a customer complaint alleging $320,000 in damages due to sales of CMO/MBS securities that were not suitable for the customer....
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Anthony Jovanovich (CRD# 2948544) of Wintrust Investments and LPL Financial. According to FINRA BrokerCheck, broker Anthony Jovanovich, formerly of Wintrust Investments has been involved in a customer complaint alleging $850,000 in investor damages due to losses in structured products/structured notes. Although this dispute was denied, it is...
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Janet Gordon (CRD# 1114409) formerly of Morgan Stanley. Gordon is currently registered as a broker with Raymond James & Associates. According to FINRA BrokerCheck, broker Janet Gordon formerly of Morgan Stanley is currently involved in a customer complaint alleging $1,475,256 in damages. The complaint further alleges that...
Read More July 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Youssef Zohny (CRD# 6759406) of Morgan Stanley. According to FINRA BrokerCheck, broker Youssef Zohny of Morgan Stanley is currently involved in a customer complaint alleging $4,500,000 in damages due to an unsuitable investment strategy that was not what the customers had agreed to when they had discussed...
Read More July 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jerry Lencke a/k/a Gerald Thomas Lencke (CRD# 3194123) formerly of Harbour Investments, Inc.. According to FINRA BrokerCheck records, broker Jerry Lencke of Harbour Investments, Inc. is involved in a customer dispute which alleges investor damages of $500,000 due to breach of contract and warranties, breach of fiduciary...
Read More July 3, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Chuck Roberts of Stifel, Nicolaus, & Co., contact the investment loss attorneys at KlaymanToskes today at +1 (888) 997-9956 or request a free case evaluation to determine if you are eligible for recovery. Did You Invest With Chuck Roberts at Stifel, Nicolaus & CO.? National investment...
Read More July 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Moon (CRD# 2431875) formerly of Merrill Lynch. Moon is currently registered as a broker with Rockefeller Financial. According to FINRA BrokerCheck, broker Robert Moon, formerly of Merrill Lynch, is facing a customer complaint alleging $4,490,000 in damages due to misappropriation of funds, unauthorized trades, and excessive...
Read More July 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John McCarthy III (CRD# 2470464) formerly of Lincoln Financial Advisors (now known as Osaic FA). McCarthy is currently registered as a broker and investment advisor with Osaic Wealth, Inc. According to FINRA BrokerCheck, broker John McCarthy III is currently involved in several customer complaints alleging unsuitable recommendations...
Read More July 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker James Pecoraro (CRD# 2440231) of Spartan Capital Securities. According to FINRA BrokerCheck, broker James Pecoraro, of Spartan Capital Securities, is currently being investigated by the Financial Industry Regulatory Authority (“FINRA”) for alleged violations of FINRA Rules 2111 and 2010 for unsuitable and excessive trading; and willful violation...
Read More July 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Shaun Stein (CRD# 4873578) of Arete Wealth Management, and formerly of National Securities Corporation. According to FINRA BrokerCheck, broker Shaun Stein of Arete Wealth, and formerly of National Securities Corporation is currently facing a customer complaint seeking damages of $722,528 for alleged excessive trading losses. Investors that...
Read More July 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Fariba Madison (CRD# 1178259) formerly of Western International Securities. Madison is currently associated with Vanderbilt Securities. According to FINRA BrokerCheck, broker Fariba Madison is currently involved in a customer complaint alleging $358,000 in investor damages. The complaint alleges unsuitable and misleading investment recommendations. Investors that suffered losses...
Read More July 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ralph Jackson (CRD# 1569213) formerly of Morgan Stanley. According to FINRA BrokerCheck, broker Ralph Jackson has been terminated by Morgan Stanley following allegations that he participated in undisclosed and unapproved financial transactions involving clients and third parties. Additionally, Jackson is under investigation by the U.S. Securities and...
Read More July 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Frank Hill (CRD# 2208115) of Kestra Investment Services. According to FINRA BrokerCheck records, broker Frank Hill of Kestra Investment Services is involved in a customer dispute which alleges investor damages of $500,000 due to unsuitable recommendations to invest in insurance investments. The customers allege that they would...
Read More July 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Jeffrey Arbeit (CRD# 6603428) formerly of Farmers Financial Solutions, LLC. According to the Financial Industry Regulatory Authority (FINRA), Jeffrey Arbeit was permanently barred from acting as a broker by FINRA due to findings that he refused to provide information and documents as requested by FINRA in...
Read More July 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Miller of RBC Capital Markets (CRD# 2434598). According to FINRA BrokerCheck, broker David Miller of RBC Capital Markets is involved in a customer complaint alleging $2,500,000 in damages due to recommendations regarding a fixed income investment strategy that did not comply with the SEC’s Regulation Best...
Read More July 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Rajesh Markan, contact the investment loss attorneys at KlaymanToskes today at +1 (888) 997-9956 or request a free case evaluation to determine if you are eligible for recovery. National investment loss lawyers KlaymanToskes is continuing its investigation of financial advisor Rajesh Markan (CRD# 4553309) of...
Read More June 25, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Will Young a/k/a William Robert Young (CRD# 4787488) formerly of Kingswood Capital Partners, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01115), alleging investor damages of $100,000 due to unsuitable recommendations to invest in GWG L Bonds...
Read More June 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Edward Fernandez (CRD# 2956661) of Capulent, LLC, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Case No. 25-01068), alleging investor damages of $161,250 due to unsuitable recommendations to invest in Madison Realty Aspen House DST. According to FINRA BrokerCheck,...
Read More June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ray Weldon (a/k/a C. Ray Weldon or Charles Raymond Weldon) formerly of Cetera Advisor Networks (CRD# 1030659). Weldon is currently registered as a broker with Independent Financial Group in Boca Raton, FL. Weldon is also reportedly doing business as Weldon & Company. According to FINRA BrokerCheck, broker...
Read More June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Dwight Kay (CRD# 5376903) formerly of WealthForge Securities and Growth Capital Services. Kay is currently registered as a financial advisor with FNEX Capital. According to FINRA BrokerCheck, broker Dwight Kay is currently involved in several customer complaints alleging over $570,000 in collective investor damages. The complaints allege...
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