February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lisa Boisselle (CRD# 5726589) formerly of LPL Financial. Broker Lisa Boisselle, formerly registered with LPL Financial, has been ordered by the Arizona Corporation Commission to pay $1,398,900 in restitution and $75,000 in administrative penalties in connection with securities fraud involving cryptocurrency-related investments. Investors that suffered losses with...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thomas B. Underwood III (CRD# 6006367) formerly of Cary Street Partners. Underwood is currently registered as an investment advisor with Bright Wealth Management. According to FINRA BrokerCheck, broker Thomas B. Underwood III is involved in a customer complaint alleging $1,875,581 in investor damages. The complaint alleges investment...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ronald Cole (CRD# 1434325)of Emerson Equity. According to FINRA BrokerCheck, broker Ronald Cole is involved in a customer complaint alleging between $100,000 and $500,000 in investor damages. The complaint relates to unsuitable real estate investments at Emerson Equity. A second customer complaint alleges unsuitable recommendations to invest...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Daniel McClory (CRD# 1390780) of Boustead Securities and Sutter Securities. According to FINRA BrokerCheck, broker Daniel McClory is currently facing an investor complaint alleging $950,000 in damages due to private placement investment recommendations that were not suitable. Investors that suffered losses with broker Daniel McClory are encouraged...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Ejiro Ode Okuma a/k/a EJ Okuma (CRD# 5774832) formerly of Edward Jones andEquitable Advisors. According to FINRA BrokerCheck, barred broker Ejiro Ode Okuma is currently involved in a customer complaint alleging up to $9,143,000 in damages. Okuma was permanently barred from acting as a broker by...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker Brian Earl Watson (CRD# 3181953) formerly of Valmark Securities. According to FINRA BrokerCheck, broker Brian Earl Watson is involved in a customer complaint alleging $100,000,000 in investor damages. The complaint relates to allegations of breach of fiduciary duty and negligence, in addition to other securities violations....
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Daniel Ladner (CRD# 2932904) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Daniel Ladner, of UBS Financial Services Inc. is currently facing a customer complaint. The complaint alleges $1,000,000 in damages due to negligence, breach of fiduciary duty and fraud in the handling and disclosures...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Dimitrios Michelis (CRD# 2920152) formerly of UBS Financial Services Inc. Michelis is currently registered with Aegis Capital Corp. According to FINRA BrokerCheck, broker Dimitrios Michelis, formerly of UBS Financial Services Inc. is currently facing several customer complaints. One complaint alleges $3,790,000 in damages due to selling away...
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February 16, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Genevieve Mar (CRD# 2744037) of Berthel Fisher and Company. According to FINRA BrokerCheck, broker Genevieve Mar is currently facing an investor complaint alleging $500,000 in damages due to investment recommendations that were not suitable and were misrepresented to the investors. Investors that suffered losses with broker Genevieve...
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February 9, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Salvadore Robert Salvo (CRD# 409637) of Purshe Kaplan Sterling Investments and Summit Financial, LLC. According to FINRA BrokerCheck, broker Salvadore Robert Salvo is currently facing an investor complaint alleging $784,000 in damages due to allegations of negligence, misrepresentations and omissions, and breach of fiduciary duties and contractual...
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February 6, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Carmen Morrone (CRD# 1898874) of Realta Equities. According to FINRA BrokerCheck, broker Carmen Morrone is involved in several customer complaints alleging $1,561,303 in collective investor damages. One of the complaints relates to DST investments, while a second customer complaint relates to alternative investments. The customers allege failure...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Phillip Wayne Jones of Merrill Lynch (CRD# 2445213). According to FINRA BrokerCheck records, broker Phillip Jones of Merrill Lynch is involved in a customer complaint alleging $5,000,000 in damages due to misrepresentation, omissions, and unsuitable investment recommendations. Investors that suffered losses with broker Phillip Jones are encouraged...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Frank DiMartini (CRD# 4512897) formerly of Altitude Capital Group. According to FINRA BrokerCheck, broker Frank DiMartini is currently facing an investor complaint alleging $1,500,000 in damages due to misrepresented investment opportunities. In November 2025, FINRA launched an investigation into DiMartini after he was the subject of the...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Wally Smith a/k/a George Wallace Smith (CRD# 4844156)of Emerson Equity. According to FINRA BrokerCheck, broker Wally Smith is involved in three customer complaints alleging over $1,750,000 in investor damages. The complaints relate to unsuitable real estate investments at Emerson Equity. Investors that suffered losses with broker Wally...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker William Tunink formerly of LPL Financial (CRD# 2738224). According to FINRA BrokerCheck, William Tunink, a former registered representative of LPL Financial, has been involved in 19 customer complaints alleging over $1,500,000 in investor damages. Tunink was terminated from LPL in September 2025 after allegations that he...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ryan Finch (CRD# 6379871)of Emerson Equity. According to FINRA BrokerCheck, broker Ryan Finch is involved in a customer complaint alleging between $500,000 and $1,000,000 in investor damages. The complaint relates to unsuitable real estate investments at Emerson Equity and alleges Breach of contract and warranties, promissory estoppel;...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brittany Halpern (CRD# 6850442) of Purshe Kaplan Sterling Investments and Summit Financial. According to FINRA BrokerCheck, broker Brittany Halpern is currently facing an investor complaint alleging $784,000 in damages due to negligence, misrepresentations and omissions, and breach of fiduciary duties and contractual obligations by referring the clients...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joseph Eschleman (CRD# 3237843) of Purshe Kaplan Sterling Investments. According to FINRA BrokerCheck, broker Joseph Eschleman is currently facing an investor complaint alleging $1,175,140 in damages due to unsuitable recommendations to invest in two DSTs: Campus Walk DST and 4th & J DST. Investors that suffered losses...
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February 5, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nora Mahoney of Carleton McKenna Advisors (CRD# 6547793). According to FINRA BrokerCheck records, Nora Mahoney of Carleton McKenna Advisors is involved in a customer complaint alleging $750,000 in damages due to failure to conduct reasonable due diligence before recommending a private placement to the investor. Investors that...
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February 4, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gary Harlap a/k/a Igor Harlap (CRD# 3125590) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Gary Harlap, of UBS Financial Services Inc. is currently facing a customer complaint alleging between $100,000 and $500,000 in damages. The complaint alleges the financial advisor improperly recommended a concentrated...
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February 4, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jason Pitts (CRD# 2150845) of Wells Fargo Advisors, and formerly of Cambridge Investment Research, Inc. According to FINRA BrokerCheck, Jason Pitts formerly of Cambridge Investment Research, Inc. is involved in a customer dispute alleging $900,000 in investor damages due to misrepresenting an unsuitable variable annuity contract. A...
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February 4, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker William Brian Candler a/k/a Brian Candler (CRD# 2802438) of Cabin Securities and JCC Capital Markets. According to FINRA BrokerCheck, broker Brian Candler of Cabin Securities is involved in a customer complaint alleging $3,400,000 in damages due to recommendations to invest in Reg D private placement investments. Investors...
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February 4, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Dustin Smith formerly of RBC Capital Markets (CRD# 2803156). Smith is currently registered as a broker with Citizens Securities. According to FINRA BrokerCheck, broker Dustin Smith formerly of RBC Capital Markets is involved in a customer complaint alleging $2,000,000 in damages due to recommendations to invest in...
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February 4, 2026 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Dwayne Jude Bullen (CRD# 6394076) a/k/a Matthew Bullen, formerlyof Worden Capital Management, Joseph Stone Capital, and VCS Venture Securities. According to FINRA BrokerCheck, broker Dwayne Bullen, formerly of Worden Capital and Joseph Stone Capital, was involved in a customer complaint whereby the customer was awarded $1,277,632...
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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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