National investment loss lawyers KlaymanToskes is investigating broker David Thiele (CRD# 6102260) after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $325,000 in collective investor damages. Thiele was previously registered as a broker with FSC Securities…
National investment loss lawyers KlaymanToskes is investigating barred broker Roger Roemmich (CRD# 1293322) previously affiliated with Alexander Capital LP, Dempsey Lord Smith, Retirement Cashflow Group, and Roger’s Retirement Readiness Alliance. According to FINRA BrokerCheck, Roger Roemmich is currently facing several…
National investment loss lawyers KlaymanToskes is investigating broker Matthew McDonald (CRD# 2837629) of Sigma Financial Corporation and Sigma Planning Corporation. According to FINRA BrokerCheck, broker Matthew McDonald of Sigma Financial Corp. and Sigma Planning Corp., is facing a customer complaint…
National investment loss lawyers KlaymanToskes is investigating suspended broker Ron Botello a/k/a Ronald Ray Botello (CRD# 4809045) formerly of Osaic Wealth. According to FINRA BrokerCheck, Ron Botello, a former registered representative of Osaic Wealth, has been suspended by the Financial…
National investment loss lawyers KlaymanToskes is investigating broker Alfonso Figueroa Bello (CRD# 5011909) formerly of Tigress Financial Partners and Stonecrest Capital Markets. According to FINRA BrokerCheck, former broker Alfonso Figueroa Bello is currently involved in a customer complaint alleging $3,000,000…
National investment loss lawyers KlaymanToskes is investigating broker Timothy Darnell (CRD# 6666469) formerly of Bankers Life Securities. Broker Timothy Darnell was terminated from Bankers Life Securities in September 2025. Multiple customer disputes filed in connection with his recommendations allege misconduct…
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…
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…
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…
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…
