November 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Victor Lessinger (CRD# 830821) of Colorado Financial Service Corporation. According to FINRA BrokerCheck, Victor Lessinger has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with allegations that he violated the SEC’s Regulation Best Interest and FINRA Rule 2010 by...
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November 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Perryman (CRD# 2019969) of NYLIFE Securities. According to FINRA BrokerCheck, Jeffrey Perryman has been barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s investigation into his potential undisclosed OBAs (“Outside Business Activities”), including charging fees to a customer...
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November 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kristopher Aubrey (CRD# 6995271) of Edward Jones. According to FINRA BrokerCheck, broker Kristopher Aubrey has been terminated from Edward Jones following allegations that he did not adhere to firm policies relating to fraud or improper conduct, gifts, charitable contributions and signatures. Aubrey is currently registered as an...
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November 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jack Bailey a/k/a John James Bailey III (CRD# 5708044) of Bailey & Co. Securities. According to FINRA BrokerCheck, broker Jack Bailey of Bailey & Co. Securities is currently being investigated by the Financial Industry Regulatory Authority (“FINRA”) for alleged violations of FINRA Rules 3280 and 2010 for...
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November 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Beck Giyazov (CRD# 5511723) of Wells Fargo Clearing Services. According to FINRA BrokerCheck, broker Beck Giyazov of Wells Fargo Clearing Services is currently involved in a customer complaint alleging misrepresentations and unsuitable investments. Beck Giyazov is currently registered with Wells Fargo Clearing Services in Los Angeles, CA....
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thomas Murphy of Merrill Lynch (CRD #5654189). According to FINRA BrokerCheck, Thomas Murphy, a former broker at Merrill Lynch, Pierce, Fenner & Smith Inc., is facing a pending customer complaint seeking $150,000 in damages for allegedly failing to act in the client’s best interest and making an...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Christopher Shaw of Newbridge Securities (CRD #5011382). According to FINRA BrokerCheck, Christopher Shaw, a former broker at Newbridge Securities Corporation, was fined and suspended for three months for allegedly making over $800,000 in unsuitable sales of high-risk GPB private placements to elderly clients, resulting in a $5,000...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bert Takita of Equitable Advisors (CRD #5852632). According to FINRA BrokerCheck, Bert Takita, a former broker at Equitable Advisors, was suspended and fined by FINRA for engaging in unapproved outside business activities, including insurance, real estate, and solar panel sales, without notifying his firm, violating FINRA Rules...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Anida Venniro (CRD #5121189) of Infinity Wealth Management and International Assets Investment Management. Venniro has also formerly been employed with LPL Financial and Ameriprise Financial Services. According to FINRA BrokerCheck, broker Anida Venniro of International Assets Investment Management, doing business as Infinity Wealth Management, has been suspended...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chris Moyseos of Morgan Stanley (CRD #5584290). According to FINRA BrokerCheck, broker Chris Moyseos of Morgan Stanley is currently facing a pending customer complaint seeking $585,000 in damages, alleging that the investment strategy executed in the client’s account was unsuitable during the period from 2020 to 2022....
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Marci Coots (CRD #5584723) of Morgan Stanley. According to FINRA BrokerCheck, broker Marci Coots of Morgan Stanley is currently involved in a customer complaint seeking $300,000 in damages, alleging the unauthorized sale of certain securities in the customers’ accounts. Investors that suffered losses with broker Marci Coots...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Andy Huang a/k/a Huanwei Huang of Glendale Securities (CRD #3268328). According to FINRA BrokerCheck, broker Andy Huang of Glendale Securities, Inc., is facing a pending investor complaint alleging breach of duty, conversion, fraud and misrepresentation, unjust enrichment, negligence, and extreme emotional distress, with the customers seeking $580,000...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Magruder, formerly of Raymond James & Associates, Inc. (CRD #4579211). According to FINRA BrokerCheck, Michael Magruder, a former financial advisor at Raymond James & Associates, Inc., has a pending investor complaint, and has been terminated by the firm following allegations that he failed to follow firm...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Timothy Jefferson, formerly of Aegis Capital Corp (CRD #5004750). According to FINRA BrokerCheck, broker Timothy Jefferson, formerly of Aegis Capital Corp, is facing pending allegations of engaging in dishonest and unethical business practices, failing to respond to FINRA’s information requests, and misappropriating funds from his spouse’s account,...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Todd McBride of Morgan Stanley (CRD #5743641). According to FINRA BrokerCheck, Todd McBride of Morgan Stanley was recently involved in a customer complaint that was settled for $158,500, based on allegations that his recommended covered call strategy was unsuitable for the customer. Investors that suffered losses with...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Patrick Moriarty, formerly of UBS FINANCIAL SERVICES INC. (CRD #4764378). According to FINRA BrokerCheck, Patrick Moriarty, a former broker at UBS Financial Services Inc., was terminated for allegedly violating firm policies by taking discretion in accounts, making inaccurate attestations regarding money movements, and not being forthcoming during...
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October 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tom Swan of Western International Securities (CRD #1698430). According to FINRA BrokerCheck, Tom Swan of Western International Securities is involved in a customer dispute alleging unsuitable and misleading investment recommendations, with the investor seeking $60,000 in damages. Past complaints against the broker have settled for more than...
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October 29, 2024 | Broker / Advisor Investigation
Did You Invest With Broker Peter Goffin of Newbridge Securities? If you have investment losses due the actions of Peter Goffin, 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 investigating broker...
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October 28, 2024 | Broker / Advisor Investigation
If you have investment losses due the actions of Raymond Lent, 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 investigating broker Raymond Lent (CRD# 817645) of Portsmouth Financial Services, and doing...
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October 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating financial advisor Lawrence Greenfield (CRD# 4056913) of Arete Wealth Management and LPL Financial, following the filing of four pending customer complaints with the Financial Industry Regulatory Authority (“FINRA”), seeking over $1,500,000 in collective investor damages due to unsuitable recommendations to invest in GWG L Bonds and other alternative...
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October 22, 2024 | Broker / Advisor Investigation
Did You Invest With Broker Joseph Beam of Capital Investment Group? National investment loss lawyers KlaymanToskes is investigating broker Joseph Beam (CRD# 5407778) of Capital Investment Group after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $705,000 in investor damages due to recommendations to invest in high risk, illiquid, alternative...
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October 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Santiago Torres of Truist Investment Services (CRD #5644622). According to FINRA BrokerCheck, broker Santiago Torres of Truist Investment Services is currently facing an investor complaint filed in August 2024 alleging that he misappropriated various family members’ funds in connection with a fixed annuity and a certificate of...
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October 14, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Weina Hou (CRD #5901613) of Cetera Investment Services. According to FINRA BrokerCheck, broker Weina Hou of Cetera Investment Services is facing two investor complaints, alleging misrepresentation. One of the customer complaints filed alleges between $500,000 to $1,000,000 in damages due to unsuitable and misrepresented investments in structured...
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October 14, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Hagin Richeson (CRD #5380166) of Corinthian Partners. According to FINRA BrokerCheck, broker Hagin Richeson of Corinthian Partners is involved in multiple pending disputes seeking over $3,000,000 in collective investor damages for alleged violations of federal securities laws, breach of fiduciary duty, unjust enrichment, fraudulent concealment, and misrepresentation...
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October 14, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eva Ovejero (CRD #4782585) of Raymond James & Associates, and formerly of Morgan Stanley. According to FINRA BrokerCheck, broker Eva Ovejero of Raymond James & Associates, formerly of Morgan Stanley, is facing a pending investor complaint alleging negligence, misrepresentation of material facts, breach of fiduciary duty, and...
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October 14, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Steve Van Metre (CRD# 4994543) of Atlas Financial Advisors. According to the Securities and Exchange Commission’s AdviserInfo, Steve Van Metre of Atlas Financial Advisors is facing a pending investor complaint alleging that he recommended unsuitable investments, resulting in $500,000 in damages. The complaint alleges that the...
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October 3, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tim Van Dyken (CRD# 5918814) of Edward Jones and Ameriprise Financial Services. According to the State of Washington Securities Division, Tim Van Dyken, a financial advisor previously registered with Edward Jones, is under investigation for unauthorized trading in a client’s account, entering false information, altering records, and...
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October 2, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Wise of Wells Fargo Clearing Services and Wells Fargo Advisors (CRD #5884184). According to FINRA BrokerCheck, broker Robert Wise of Wells Fargo Clearing Services and Wells Fargo Advisors is currently facing an investor complaint alleging that he recommended unsuitable investments, with the investor seeking approximately $1...
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October 2, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Rose of Wells Fargo Clearing Services (CRD #2874342). According to FINRA BrokerCheck, broker Robert Rose of Wells Fargo Clearing Services and Wells Fargo Advisors is currently facing an investor complaint alleging that he recommended unsuitable investments, with the investor seeking approximately $1 million in damages. The...
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October 1, 2024 | Broker / Advisor Investigation
Investment Losses with Brian Sterz of B. Riley Wealth Management? Contact KlaymanToskes for Recovery Options National investment loss lawyers KlaymanToskes is investigating investment advisor Brian Sterz (CRD# 5333667) of B. Riley Wealth Management, following the filing of several customer complaints with the Financial Industry Regulatory Authority (“FINRA”), alleging $3,814,000 in collective investor damages due to...
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