October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Blake Scherr (CRD# 5043294) of Merrill Lynch. According to FINRA BrokerCheck, broker Blake Scherr of Merrill Lynch is facing a pending customer complaint alleging $1,000,000 in damages due to improper solicitation of an account. The complaint allegedly relates to Mutual Fund investments. Investors that suffered losses with...
Read More October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rikki Foster (CRD# 6075051) of Concorde Investment Services. According to FINRA BrokerCheck, Rikki Foster of Concorde Investment Services is facing a pending customer complaint alleging $700,000 in damages due to unsuitable recommendations to invest in DPP& LP Interest investments. The customer further alleges breach of fiduciary duty,...
Read More October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thaddeus Eubanks (CRD# 5888014) of Edward Jones. According to FINRA BrokerCheck, broker Thaddeus Eubanks is currently involved in a customer complaint alleging $2,500,000 in damages. The customer alleges use of margin to purchase additional shares, and recommendation to continue holding shares of a purported concentrated position in...
Read More October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Elizabeth Fitzwater (CRD# 2729767) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Elizabeth Fitzwater, of UBS Financial Services Inc. is currently facing a customer complaint alleging $3,233,690 in damages. The complaint alleges failure to identify and escalate red flag issues associated with financial exploitation and...
Read More October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peter Black a/k/a Peter Eugene Black (CRD#1333774) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Peter Black, of UBS Financial Services Inc. is currently facing a customer complaint alleging $9,900,000 in damages. The complaint alleges that the customer only provided authorization to sell half of...
Read More October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker Eduardo Mordujovich (CRD# 3066044) of Valmark Securities. According to FINRA BrokerCheck, broker Eduardo Mordujovich 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. Investors that suffered...
Read More October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nathan Goad (CRD# 5421740) of J. Alden Associates and Alden Investment Group. Goad was formerly registered as a broker with Cetera Investment Services. According to FINRA BrokerCheck, broker Nathan Goad is involved in several customer complaints alleging over $6,000,000 in collective investor damages. The complaints allege unsuitable...
Read More October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Waal (CRD# 1226437) of Emerson Equity. Waal was formerly registered as a broker with Omni Brokerage Inc. and Orchard Securities. According to FINRA BrokerCheck, broker David Waal is involved in several customer complaints alleging over $2,000,000 in collective investor damages. One of the complaints relates to...
Read More October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Scott Jones a/k/a Scott Douglas Jones (CRD# 2196146) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Scott Jones, of UBS Financial Services Inc. is currently involved in a customer complaint alleging $3,233,690 in damages. The complaint alleges failure to identify and escalate red flag issues...
Read More October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Zhi Ying Guan (CRD# 7000349) of Emerson Equity. According to FINRA BrokerCheck, broker Zhi Ying Guan is involved in several customer complaints alleging up to over $5,000,000 in collective investor damages. The complaints relate to recommendations to invest in real estate securities, and include allegations of breach...
Read More October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Lybbert (CRD# 7451138) formerly of Elite Wealth Management, Inc and Lattice Capital Management. According to FINRA BrokerCheck, broker Robert Lybbert has been involved in numerous customer complaints alleging over $19,000,000 in collective investor damages. The complaints allege Breach of Fiduciary Duty and Negligence, amongst other securities...
Read More October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Franklin Lainez (CRD# 7721324) of TD Private Client Wealth. According to FINRA BrokerCheck, broker Franklin Lainez, of TD Private Client Wealth is currently facing a customer complaint alleging $10,000,000 in damages. The complaint alleges the advisor unlawfully transferred funds for the purchase of property. Lainez is also...
Read More September 28, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Jihoon Park of MML Investors Services (CRD# 6535514). According to FINRA BrokerCheck records, Jihoon Park of MML Investors Services has been hit with an investor complaint alleging $2,658,000 in investor damages due to unsuitable recommendations to invest the client’s money into crypto currency. The customer further...
Read More September 28, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mary Ann Best (CRD# 4389355) of Sanford C. Bernstein & Co. (AllianceBernstein, L.P.) after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $489,703 in damages due to unsuitable recommendations to invest in Alternative Investments. The complaint was settled in favor of the investor...
Read More September 28, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rich Ceffalio a/k/a Richard Allen Ceffalio Jr. (CRD# 2619565) of Providence Private Wealth, NewEdge Advisors, LPL Financial, and Wells Fargo Clearing Services, after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging over $8,000,000 in collective investor damages. Investors that suffered losses with...
Read More September 28, 2025 | Broker / Advisor Investigation
If You Suffered Losses With Financial Advisor Tony Barouti, Contact the Law Firm of KlaymanToskes National investment loss lawyers KlaymanToskes continues to investigate broker Tony Barouti (CRD# 3031995) of Emerson Equity. Barouti has reportedly been involved in 62 customer complaints with the Financial Industry Regulatory Authority (“FINRA”). Barouti’s customers are seeking over $5 million in...
Read More September 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Amanda Nicole Wiggins (CRD# 5526300) after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”). According to FINRA BrokerCheck, the claimant alleges that from 2021 through 2022, Amanda Nicole Wiggins was part of a team that made unsuitable investments and engaged in unauthorized trading,...
Read More September 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brandon Jerome Larsen (CRD# 6192239) of Thrivent Investment Management. According to the Financial Industry Regulatory Authority (FINRA), Brandon Larsen was recently sanctioned and suspended in connection with alleged rule violations. A Letter of Acceptance, Waiver, and Consent (No. 2024081055001) describes FINRA’s disciplinary action against Mr. Larsen. Filed in August...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Kluksdal (CRD#: 4850332) of Capital Financial Solutions offering securities through Cetera Wealth Services LLC. Broker David Kluksdal is currently the subject of a customer complaint out of Albuquerque, NM alleging $500,000 in damages. According to FINRA BrokerCheck, the claim alleges that as a representative of Cetera...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Hoss Esmaeili a/k/a Hossien Esmaeili (CRD#: 5581440) formerly of Cambridge Investment Research, Inc. Broker Hoss Esmaeili formerly of Cambridge Investment Research is currently the subject of a customer complaint alleging $439,114 in damages. According to FINRA BrokerCheck, the claim alleges an unauthorized sale and transfer of funds...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Victor Sibilla (CRD#: 1783361) of Westpark Capital, Inc. Broker Victor Sibilla of Westpark Capital is currently the subject of a customer complaint alleging $100,000 in damages. According to FINRA BrokerCheck, the claim alleges negligence, failure to comply with best interest & suitability, and other securities violations in...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Amber Stoll (CRD#: 6937254) formerly of Merrill Lynch, Pierce, Fenner & Smith, Inc. Broker Amber Stoll, formerly of Merrill Lynch, Pierce, Fenner & Smith, Inc., is currently the subject of a customer complaint alleging $1,000,000 in damages. According to FINRA BrokerCheck, the claim alleges that Stoll failed...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jared Mark Guenkauf (CRD#: 4591389) of Merrill Lynch, Pierce, Fenner & Smith, Inc. Broker Jared Mark Guenkauf of Merrill Lynch, Pierce, Fenner & Smith, Inc. is currently the subject of a customer complaint alleging $1,000,000 in damages. According to FINRA BrokerCheck, the claim alleges that Guenkauf failed...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert William Woods (CRD#: 820999) of Wedbush Securities, Inc. Broker Robert William Woods of Wedbush Securities, Inc. is currently the subject of a customer complaint alleging $1,089,925 in damages. According to FINRA BrokerCheck, the claim asserts causes of action including breach of fiduciary duty, negligence, unsuitable investment...
Read More September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Davis Harris Jr. (CRD#: 2982772) of Merrill Lynch, Pierce, Fenner & Smith, Inc. According to FINRA BrokerCheck, broker Michael Davis Harris Jr. of Merrill Lynch, Pierce, Fenner & Smith, Inc. is currently the subject of a customer complaint alleging between $500,000 and $1,000,000 in damages. The...
Read More September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jerice Walker (CRD#: 5040177) of Wells Fargo Clearing Services, LLC. According to FINRA BrokerCheck, broker Jerice Devon Walker of Wells Fargo Clearing Services, LLC is currently the subject of a customer complaint alleging $1,003,025.92 in damages. The complaint alleges that in April 2025, Walker failed to follow...
Read More September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Spencer Hilligoss (CRD# 7289560). Hilligoss was previously registered with Finalis Securities LLC and Growth Capital Services, Inc. According to publicly available records, broker Spencer Hilligoss may have marketed private placements related to Prestige Funds and Paramount Management Group to his customers. Paramount Management Group LLC and Prestige...
Read More September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Simon Michael Joseph a/k/a Simon Michael Youssef (CRD#: 5602157). According to FINRA BrokerCheck, on August 8, 2025, broker Simon Michael Joseph consented to sanctions of a 6 month suspension and $5,000 fine after failing to disclose a Consent Order from the Securities Commissioner of Maryland on his...
Read More September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker Bradley Goodbred (CRD#: 3184210) of LPL Financial. According to FINRA BrokerCheck, former broker Bradley Goodbred of LPL Financial, LLC has been sentenced to 6 years in prison for stealing more than $1 million from elderly client with dementia. Investors that suffered losses with broker Bradley Goodbred...
Read More September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jordan Meadow (CRD# 4625407) of Spartan Capital Securities. According to FINRA BrokerCheck, broker Jordan Meadow formerly of Spartan Capital Securities, LLC has been barred by the Financial Industry Regulatory Authority (“FINRA”) for refusing to testify in connection with an investigation into his potential participation in excessive trading...
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