January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kimberly Clark, formerly of Ameriprise Financial Services (CRD #4312757). According to FINRA BrokerCheck, Kimberly Clark, formerly of Ameriprise Financial Services, was barred from acting as a securities broker by FINRA in October 2024 after refusing to cooperate with FINRA’s investigation into her alleged misuse of funds related...
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January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kittiany Davis Barrios, formerly of PFS Investments (CRD #6941840). According to FINRA Brokercheck, Kittiany Davis Barrios, formerly of PFS Investments in was barred by FINRA in October 2024 for refusing to cooperate with an investigation regarding possible undisclosed outside business activities and private securities transactions, following her...
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January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brendan Kelly of IFP Securities (CRD #2208036). According to FINRA BrokerCheck, Brendan Kelly of IFP Securities is facing several pending investor complaints. A customer complaint filed in September 2024 alleges misrepresentations regarding a Nationwide variable annuity investment. A second customer complaint filed in October 2024 alleges $450,000...
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January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker William Harvey (CRD# 2398782) of Janney Montgomery Scott LLC. According to FINRA BrokerCheck, William Harvey of Janney Montgomery Scott is facing a customer complaint alleging he made unsuitable investment recommendations in long-term fixed income products, with the customers seeking $499,000 in alleged damages. Investors that suffered losses...
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January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Bradley Gardner (CRD# 4423724) of LPL Financial LLC. According to FINRA BrokerCheck, Bradley Gardner of LPL Financial was barred from acting as a securities broker by FINRA in June 2018 following allegations of converting an elderly client’s funds for personal use under the guise of prepaid...
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January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Braun of Hamlin Capital Advisors (CRD #4197374). According to an SEC order, Michael Braun and Hamlin Capital Advisors failed to timely and fully disclose material conflicts of interest related to municipal bond offerings totaling over $500 million to charter school clients between 2017 and 2022, resulting...
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January 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peter Barry of Raymond James & Associates (CRD #2235548). According to FINRA BrokerCheck, Peter Barry of Raymond James & Associates, Inc. is facing a pending investor complaint alleging $1,428,201 in damages due to unsuitable investment recommendations involving alternative investments, micro-cap securities, REITs, improper bond trading, portfolio concentration,...
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January 5, 2025 | Broker / Advisor Investigation
Gabriel Edelman Barred by FINRA for Alleged Fraudulent Securities Sales National investment loss lawyers KlaymanToskes is investigating broker Gabriel Edelman (CRD# 5778763) of Spartan Capital Securities, who has been permanently barred from acting as a broker by the Securities and Exchange Commission (“SEC”) following allegations that he fraudulently offered and sold securities through his two...
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January 4, 2025 | Broker / Advisor Investigation
Broker Ronald Smith Accused of Breach of Fiduciary Duty and Other Allegations National investment loss lawyers KlaymanToskes is investigating broker Ronald Smith of Sanford C. Bernstein & Co., and formerly of Spartan Capital Securities (CRD# 6038062). According to FINRA BrokerCheck, broker Ronald Smith, formerly of Spartan Capital Securities, and now registered with Sanford C. Bernstein...
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January 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ed Maklouf a/k/a Ahmad Mohamed Maklouf of Spartan Capital Securities (CRD# 6092943). According to FINRA BrokerCheck, broker Ed Maklouf, formerly of Spartan Capital Securities, is facing several pending customer complaints seeking $1,745,994 in collective damages for alleged Churning & Unsuitability. One of the complaints allegedly relates to...
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January 3, 2025 | Broker / Advisor Investigation
George Apolonides Faces Allegations of Unsuitable and Excessive Trading National investment loss lawyers KlaymanToskes is investigating broker George Apolonides a/k/a George Apollo (CRD# 3101928) formerly of Spartan Capital Securities. According to FINRA BrokerCheck, George Apolonides a/k/a George Apollo has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection...
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January 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Evan Adelglass (CRD# 2392225) of LPL Financial. Who is Broker Evan Adelglass? Evan Jay Adelglass is a broker, currently registered with LPL Financial LLC. He has faced recent customer disputes alleging unsuitable investment recommendations. Adelglass denies the allegations and maintains that his recommendations were appropriate and aligned...
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January 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Mangin (CRD# 318628) of OneAmerica Securities after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $200,000 in collective investor damages due to allegations that the representative, acting in the capacity of Power of Attorney on his mother’s account, improperly gift transferred...
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January 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gaylord Rohloff (CRD #1542216) of Western International Securities. According to FINRA BrokerCheck, broker Gaylord Rohloff of Western International Securities is currently facing several customer disputes alleging he recommended unsuitable investments, including a real estate investment and a corporate bond investment. The customers are seeking $355,000 in collective...
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January 2, 2025 | Broker / Advisor Investigation
Broker Stephen Sullivan is Suspended by FINRA National investment loss lawyers KlaymanToskes is investigating broker Stephen Sullivan (CRD# 3123249) of Spartan Capital Securities, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that he failed to provide on-the-record testimony requested by FINRA in connection with the...
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January 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Colin Kelty (CRD #5859007) of Cetera Investment Services LLC. According to FINRA BrokerCheck, broker Colin Kelty of Cetera Investment Services is currently facing a customer complaint alleging unsuitable investment recommendations to invest in structured products that resulted in losses, with the customer seeking $1,567,400 in damages. Kelty...
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January 2, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Daly Jr. (CRD# 3111426) of Morgan Stanley and Xtellus Capital Partners. According to FINRA BrokerCheck, Robert Daly Jr. has been barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s investigation into a regulatory tip relating to possible undisclosed...
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker James Chin (CRD# 1735239), formerly of UBS Financial Services. According to FINRA BrokerCheck, James Chin, formerly of UBS Financial Services is facing a pending $1,000,000 customer complaint filed in November 2024, alleging that an account used to collateralize a line of credit was unsuitably allocated in equities....
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joy Simar of LPL Enterprise, LLC and formerly of Pruco Securities (CRD# 6147731). According to FINRA BrokerCheck, Joy Simar, a financial advisor with LPL, and formerly with Pruco Securities is facing a pending customer complaint alleging $203,902 in damages due to improper application handling. Investors that suffered...
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Siobhan Brady (CRD# 5151594) of UBS Financial Services. According to FINRA BrokerCheck, Siobhan Brady of UBS Financial Services is facing a pending $1,000,000 customer complaint filed in November 2024, alleging that an account used to collateralize a line of credit was unsuitably allocated in equities. Further, the...
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jonathan Gazdak of Alexander Capital LP (CRD# 5678294). According to FINRA BrokerCheck, Jonathan Gazdak of Alexander Capital L.P. in Red Bank, NJ is currently facing a pending $1,694,000 customer complaint alleging breach of fiduciary duty, fraudulent inducement, negligence, breach of contract, and violation of FINRA Rule 2010...
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jay Geaslen of Avantax Investment Services and formerly of Ameriprise Financial Services (CRD #2124281). According to FINRA BrokerCheck, Jay Geaslen of Avantax, and formerly of Ameriprise, is facing a pending $500,000 investor complaint alleging he recommended unsuitable investments, including leveraged structured notes and a non-traded real estate...
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Christopher Laffey of Alexander Capital LP (CRD# 859962). According to FINRA BrokerCheck, Christopher Laffey of Alexander Capital L.P. in Red Bank, NJ is currently facing a pending $1,694,000 customer complaint alleging breach of fiduciary duty, fraudulent inducement, negligence, breach of contract, and violation of FINRA Rule 2010...
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December 19, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gordy Gutowsky a/k/a John Gordon Gutowsky of Osaic Wealth, and formerly of Cetera Advisors (CRD# 3089973). According to FINRA BrokerCheck, Gordy Gutowsky a/k/a John Gordon Gutowsky of Osaic Wealth, and formerly of Cetera Advisors, is facing a pending customer complaint seeking $400,000 in alleged damages due to...
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December 18, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Shawn Weadock of Alexander Capital LP (CRD #2602704). According to FINRA BrokerCheck, Shawn Weadock of Alexander Capital L.P. in Red Bank, NJ is currently facing a pending $1,694,000 customer complaint alleging breach of fiduciary duty, fraudulent inducement, negligence, breach of contract, and violation of FINRA Rule 2010...
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December 18, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Patrick Dever of Stifel, Nicolaus & Company (CRD #2202204). According to FINRA BrokerCheck, Patrick Dever of Stifel, Nicolaus & Company is the subject of an investor complaint seeking $1,000,000 in alleged damages related to unsuitable Unit Investment Trusts (“UITs”) investments with excessive fees and commissions. Investors that...
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December 18, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Juan Hua Liang a/k/a Joyce Liang (CRD# 6860076) of NI Advisors. According to FINRA BrokerCheck, Juan Hua Liang a/k/a Joyce Liang of NI Advisors has been hit with a $1 million customer complaint alleging breach of fiduciary duty and breach of contract related to the sale of...
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December 18, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lawrence Feldmesser a/k/a Larry Feldmesser of Stifel, Nicolaus & Company (CRD #1848547). According to FINRA BrokerCheck, Lawrence Feldmesser a/k/a Larry Feldmesser of Stifel, Nicolaus & Company is the subject of an investor dispute seeking $189,844 in alleged damages due to negligent misrepresentation and violations of Wisconsin’s Uniform...
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December 18, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Terry Mitchell a/k/a Torian Devon Mitchell of Pruco Securities (CRD #6320029). According to FINRA BrokerCheck, Terry Mitchell, formerly of Pruco Securities, is facing two pending customer disputes seeking $200,000 in collective investor damages for alleged misappropriation of funds, breach of fiduciary duty, and fraud. One of the...
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December 18, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jason Lowther of Concorde Investment Services, and formerly of Western International Securities (CRD #2606268). According to FINRA BrokerCheck, Jason Lowther of Concorde Investment Services, and formerly of Western International Securities is currently facing a pending investor dispute seeking $125,000 in alleged damages in connection with an unsuitable...
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