September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sam Schoner a/k/a Samuel Carl Schoner (CRD# 1928356) of J.P. Morgan Securities, and formerly of First Republic Securities following the filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging investor damages of $2,500,000 due to unsuitable investment advice. According to FINRA BrokerCheck, broker...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Paris Lewis (CRD# 2335964) of NYLIFE Securities and MetLife Securities, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim no. 24-01935), alleging investor damages of $150,000 due to unsuitable investment recommendations and misappropriation of the client’s funds. According to...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Harold Puhl of Cetera Advisor Networks (CRD #1045552). According to FINRA BrokerCheck, broker Harold Puhl of Cetera Advisor Networks is facing two pending investor complaints alleging $900,000 in collective investor damages. One of the complaints alleges that Puhl recommended unsuitable real estate investments, while the other customer...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Vincent Bailey (CRD #1845517) of Berthel Fisher & Company Financial Services Inc. According to FINRA BrokerCheck, broker Vincent Bailey of Berthel Fisher & Company Financial Services Inc. is currently facing a customer complaint alleging that he failed to make suitable recommendations and overconcentrated the customer’s accounts in...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Pat Hobert a/k/a Patrick Roland Hobert (CRD# 805680) of Centaurus Financial Inc. According to FINRA BrokerCheck records, Pat Hobert a/k/a Patrick Roland Hobert, a financial advisor with Centaurus Financial Inc., is currently facing numerous customer-initiated complaints seeking $312,000 in collective investor damages. Several of the complaints allege...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thomas Rinek of LPL Financial (CRD #2171430). According to FINRA BrokerCheck, Thomas Rinek of LPL Financial was terminated for allegedly transmitting nonpublic personal customer information to his personal email. Rinek has also been suspended by FINRA due to the alleged misconduct. Investors that suffered losses with broker...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Edward Rudiger of Reid & Rudiger (CRD #2118724). According to FINRA BrokerCheck, broker Edward Rudiger of Reid & Rudiger is currently facing a pending investor complaint alleging $1,200,000 in investor damages due to breach of fiduciary duties and contract, unsuitable recommendations, and unfair commissions. A second pending...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Keith Dagostino (CRD# 2837860) of EF Hutton, LLC and formerly of Aegis Capital Corp. According to FINRA BrokerCheck, broker Keith Dagostino, a former broker at Aegis Capital Corp., and currently at EF Hutton, LLC, has been hit with 15 customer complaints alleging unsuitable investment recommendations. The most...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Buonanno of Cetera Advisor Networks (CRD #2823332). According to his FINRA BrokerCheck report, broker Michael Buonanno of Cetera Advisor Networks is currently facing an investor complaint alleging that he recommended unsuitable investments in a variable annuity and a real estate investment trust (REIT), resulting in alleged...
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September 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joe Zheng (CRD# 2318835) of JK Financial Services Inc.. According to his FINRA BrokerCheck report, broker Joe Zheng of JK Financial Services is facing a significant investor complaint alleging unsuitable investment recommendations that were in direct conflict with the customer’s investment direction and profile. The customer alleges...
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September 10, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tony Liddle a/k/a Anthony Baker Liddle (CRD# 5478479) of Prosper Wealth Management, Western International Securities and Landolt Securities, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) and Securities and Exchange Commission (“SEC”) following allegations that he defrauded over...
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September 9, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Craig Thistlethwaite (CRD# 2507050) of CT Financial Partners, and formerly of Morgan Stanley. According to FINRA BrokerCheck, Craig Thistlethwaite, a former financial advisor at Morgan Stanley, has been suspended by FINRA following allegations that he executed over 500 unauthorized trades between January 2014 and April 2021 and...
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September 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thomas Lisk (CRD# 5010650) of Center Street Securities and Realta Equities (formerly known as Coastal Equities) after numerous customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging over $1,700,000 in collective investor damages due to unsuitable investment recommendations. Many of the complaints filed relate...
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August 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eric Dupre (CRD# 2174456) of Ameriprise Financial Services, after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $4,059,411 in investor damages due to claims which include that Dupre “stole” money, made cryptocurrency investments, and made unsuitable investment recommendations. According to FINRA BrokerCheck,...
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August 30, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Aaron Jasper of Mutual Securities Inc (CRD# 5016734). According to FINRA BrokerCheck, broker Aaron Jasper of Mutual Securities Inc. was involved in a customer complaint which was settled in favor of the investor for $512,587.63, based on alleged violations of FINRA rules, state and federal securities laws,...
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August 30, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Darren Grossman (CRD# 5762586) of Centaurus Financial. According to FINRA BrokerCheck, broker Darren Grossman of Centaurus Financial is currently facing an investor complaint alleging that he recommended unsuitable, high-risk, illiquid investments, and breached his fiduciary duty. The complaint alleges $250,000 in investor damages. Investors that suffered losses...
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August 30, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chadwick Carrick (CRD# 3093870) of The Jeffrey Matthews Financial Group LLC, and formerly of Stifel, Nicolaus, & Company. According to FINRA BrokerCheck, broker Chadwick Carrick of The Jeffrey Matthews Financial Group LLC was recently involved in a customer complaint that alleged breach of fiduciary duty, churning, excessive...
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August 30, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Thiele (CRD# 6102260), formerly of FSC Securities Corporation after three customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $1,753,822 in collective investor damages. One of the complaints filed against Thiele alleged $1,228,822 in damages due to failure to supervise another financial professional....
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August 30, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jason Salmon (CRD #6081963) of FNEX Capital, and formerly of Growth Capital Services and WealthForge Securities. According to FINRA BrokerCheck, broker Jason Salmon of FNEX Capital is currently facing an investor complaint alleging that he breached his fiduciary duty, failed to conduct reasonable due diligence, failed to...
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August 30, 2024 | Broker / Advisor Investigation
If you have investment losses due the actions of Broker Seth Gansman, 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 Seth Gansman of Ameriprise Financial Services (CRD #6003662). According...
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August 30, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kevin Dauphinee (CRD #5847437) of CreativeOne Wealth, and formerly of Portsmouth Financial Services. According to his SEC AdviserInfo record, Kevin Dauphinee of CreativeOne Wealth is currently facing an investor complaint alleging that he recommended an unsuitable investment strategy involving fixed and variable annuity products while at Portsmouth...
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August 29, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Zach McCraw of Pruco Securities (CRD #7003820). According to FINRA BrokerCheck, broker Zach McCraw was barred from the securities industry on July 18, 2024, due to his refusal to appear for on-the-record testimony during FINRA’s investigation into his resignation from Pruco Securities following allegations of submitting non-genuine...
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August 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eric Johnson of Kestra Investment Services (CRD #5993374). According to his FINRA BrokerCheck record, Eric Johnson, now a broker for Kestra Investment Services, resigned from Truist Investment Services following allegations that he attempted to obtain deposit production credit by inaccurately reflecting his contact with the bank clients....
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August 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Lieberman of Morgan Stanley (CRD #1532375). According to FINRA BrokerCheck, broker Jeffrey Lieberman of Morgan Stanley is facing an investor complaint filed in August 2024 alleging he failed to disclose the risks and costs associated with a liquidity access line, resulting in $2,000,000 in alleged investor...
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August 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Jonmark Richardson of Valhalla Advisors (CRD #4919603). According to records from the Securities and Exchange Commission (“SEC”), investment advisor Jonmark Richardson of Valhalla Advisors is currently facing a pending investor complaint alleging that he recommended an unsuitable private placement, committed securities fraud, breached his fiduciary duty,...
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August 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Randy Liggitt a/k/a Randolph Kent Liggitt (CRD #2204249) of Truist Investment Services and Janney Montgomery Scott. According to FINRA BrokerCheck, broker Randy Liggitt was terminated by Truist Investment Services in June 2024 following an internal investigation into trading activity in two ETFs. Liggitt is currently registered with...
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August 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nancy Biddle (CRD #2134532) of Osaic Wealth, Sundial Financial Group, and FSC Securities. According to FINRA BrokerCheck, broker Nancy Biddle of Osaic Wealth and Sundial Financial Group is currently facing an investor complaint filed in August 2024, alleging that she recommended and sold unsuitable alternative investments without...
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August 27, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chad Mehle (CRD# 7008517) of Morgan Stanley, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 24-01837), alleging investor damages over $100,000 due to the mismanagement of an advisory account involving an aggressive investment portfolio as collateral for...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Sawyer of Stifel Independent Advisors LLC (CRD# 1705283). Robert John Sawyer of Stifel Independent Advisors is facing a customer complaint alleging breach of contract, negligence, fiduciary duty breaches, fund conversion, fraud, investment opportunity loss, and misrepresentation. Investors that suffered losses with broker Robert Sawyer are encouraged...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nicholas Hasselkus of Morgan Stanley (CRD# 3257152). According to FINRA BrokerCheck, Nicholas Robert Hasselkus, a broker registered with Morgan Stanley in Scottsdale, Arizona, was the subject of a customer complaint settled for $14,624.43 in damages, based on allegations that he did not follow the customer’s instructions regarding...
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