August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Upchurch of Centaurus Financial Inc. According to FINRA BrokerCheck, Mark Upchurch, a broker registered with Centaurus Financial Inc., is facing a customer complaint alleging breach of fiduciary duty and unsuitable investment recommendations involving illiquid and speculative investments, with the customer seeking $100,000 in damages. Investors that...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Spencer Miller of Merrill Lynch (CRD# 6273107) According to FINRA BrokerCheck, broker Spencer Miller is currently facing a customer complaint alleging that he made unsuitable investment recommendations in connection with the sale of private placements. Miller reportedly has two other investor complaints disclosed, of which both have...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Wesley Triani of Equity Services Inc (CRD #1025539). According to FINRA BrokerCheck, broker Wesley Triani was permanently barred from the securities industry on August 23, 2023, due to his failure to provide documents and information requested by FINRA as part of its investigation into the circumstances surrounding...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Hebner of Moloney Securities Co. Inc.. According to FINRA BrokerCheck, broker John Raymond Hebner of Moloney Securities Co. Inc., based in Hayden, Idaho, is facing several customer complaints filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $948,000 in collective investor damages. The complaints further allege...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Reed Smith of Merrill Lynch (CRD #2708938). According to FINRA BrokerCheck, broker Reed Smith of Merrill Lynch is currently facing a customer complaint which alleges misappropriation from September 2007 through March 2021. Investors that suffered losses with broker Reed Smith are encouraged to contact attorney Lawrence L....
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Taylor Barden a/k/a Samuel Taylor Barden of Morgan Stanley and Rockefeller Financial (CRD #4323859). According to FINRA BrokerCheck, broker Taylor Barden a/k/a Samuel Taylor Barden is facing an investor dispute for allegedly maintaining a balance of funds in cash equivalents in a managed account that was subject...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jason Young of Charles Schwab & Co. (CRD #3084079). According to FINRA BrokerCheck, broker Jason Young of Charles Schwab & Co. is currently facing an investor dispute alleging that he failed to follow the customers’ instructions by not investing a substantial amount of cash into equities, resulting...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jordan Stentiford of Northwestern Mutual Investment Services (CRD #6946439). According to FINRA BrokerCheck, broker Jordan Stentiford was barred from the securities industry in July 2024 after refusing to provide on-the-record testimony regarding his resignation from Northwestern Mutual Investment Services, LLC, whereby the firm disclosed on its Form...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Richard Jackson of Equity Services (CRD #2224335). According to FINRA records, broker Richard Jackson was suspended by FINRA in August 2023 for sending communications to customers that contained unwarranted, exaggerated, and promissory claims while registered with Equity Services, leading to his termination from the firm in 2022....
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Aaron Graham of United Planners’ Financial Services and AG Financial (CRD #3167246). According to FINRA BrokerCheck, broker Aaron Graham with United Planners’ Financial Services was hit with a customer complaint that alleged Violations of the Utah Securities Act, fraud, breach of fiduciary duty, professional negligence, unsuitability, violation...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bradley Bergdahl of LPL Financial and Cetera Advisor Networks (CRD #13572). According to FINRA BrokerCheck, broker Bradley Bergdahl of LPL Financial and Cetera Advisor Networks is facing a customer complaint which alleges that he made unsuitable recommendations of a real estate security that did not align with...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Travis James of LPL Financial (CRD #4297837). According to FINRA BrokerCheck, broker Travis James of LPL Financial is currently facing an investor dispute alleging that he failed to follow instructions. The complaint allegedly relates to an investment in a variable annuity. Investors that suffered losses with broker...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michelle Neuhalfen of Bankers Life Securities (CRD #7206531). According to FINRA BrokerCheck, broker Michelle Neuhalfen has been hit with a complaint from an investor’s Power of Attorney which alleged that Neuhalfen recommended the liquidation of securities to fund a Bankers Life and Casualty Guaranteed Lifetime Income Annuity...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Stanley of Osaic Wealth (CRD #6626725). According to FINRA BrokerCheck, broker Mark Stanley of Osaic Wealth is facing an investor dispute alleging that he did not obtain authorization for an options strategy that resulted in the sale of stock and subsequent capital gains taxes. Investors that...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Estes of Raymond James Financial Services (CRD #4588902). According to FINRA BrokerCheck, broker Michael Estes of Raymond James Financial Services has been hit with an investor dispute filed on June 17, 2024, which alleged $67,354 in investor damages and that he placed unauthorized trades that were...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Schultz (CRD #4163450) of Osaic Wealth and Royal Alliance Associates. According to FINRA BrokerCheck, broker Robert Schultz of Osaic Wealth is currently facing an investor dispute for allegedly recommending unsuitable alternative investments and the sale of such investments, with the investor seeking $75,000 in damages. Schultz...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brian Nelson of Emerson Equity (CRD #5779195). According to FINRA BrokerCheck, broker Brian Nelson of Emerson Equity is facing a complaint from an investor who is alleging $500,000 in damages due to breach of fiduciary duty, violation of FINRA/NYSE/SEC rules and regulations, breach of contract, negligence, negligent...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ashley Thompson of LPL Financial (CRD #5208583). According to FINRA BrokerCheck, Ashley Thompson, a broker registered with LPL Financial, is currently facing an investor dispute alleging that she failed to follow instructions. The complaint allegedly relates to a variable annuity investment. Investors that suffered losses with broker...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ryan Knispel of State Farm VP Management Corp (CRD #3094245). According to FINRA BrokerCheck, broker Ryan Knispel of State Farm VP Management Corp. is the subject of an investor dispute as of June 18, 2024, alleging the wrong trust was listed as the beneficiary. Investors that suffered...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Abtin Bashirazami of TransAmerica Financial Advisors (CRD #7526170). According to FINRA BrokerCheck, broker Abtin Bashirazami is currently facing an investor dispute alleging that he misrepresented an Indexed Universal Life insurance policy and recommended liquidating a 529 savings account and an inheritance to fund the policy. The customer...
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August 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jaime Estrada of Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services (CRD #5852546). According to FINRA BrokerCheck, Jaime Estrada, a broker registered with Wells Fargo Advisors Financial Network, is currently facing an investor dispute alleging that he made an unsuitable annuity investment recommendation for the...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chad Zawacki of Merrill Lynch (CRD #2996799). According to FINRA BrokerCheck, broker Chad Zawacki of Merrill Lynch is currently facing an investor dispute dated July 10, 2024, alleging that he recommended unsuitable investments, executed unauthorized transactions, and failed to act in the customer’s best interest, with the...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joseph Trotta of LPL Financial (CRD #449594). According to FINRA BrokerCheck, broker Joseph Trotta of LPL Financial is currently facing an investor dispute alleging that he misrepresented the effects of withdrawals on an annuity’s guaranteed minimum income benefit, causing the client to nearly exhaust the annuity account...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Seth McKinney (CRD #5832597) of Crews & Associates, Coastal Securities, and FHN Financial Securities. According to FINRA BrokerCheck, broker Seth McKinney was fined $10,000 and suspended for 18 months by FINRA on July 25, 2024, for participating in private securities transactions totaling $2 million without disclosing his...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brandon Morrow of Emerson Equity (CRD #3037943). According to FINRA BrokerCheck, broker Brandon Morrow of Emerson Equity has been hit with a customer complaint filed in February 2024 alleging misrepresentation and omission of investment information, with the customer seeking $900,000 in damages. The complaint was reportedly related...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Anaya of NYLife Securities (CRD #5947867). According to FINRA BrokerCheck, Michael Anaya is currently facing an investor dispute alleging that three separate variable annuity policies he sold contained new surrender charge schedules that the investors did not fully understand. Investors that suffered losses with broker Michael...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Selwyn Miller of Lincoln Financial Advisors (CRD #1695348). According to FINRA BrokerCheck, broker Selwyn Miller is facing a complaint from an investor alleging omissions and misrepresentations, and misappropriation of the customer’s funds while registered with Lincoln Financial Advisors. Investors that suffered losses with broker Selwyn Miller are...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ryan Leblanc (CRD# 2631068) of LPL Financial. According to FINRA BrokerCheck, broker Ryan Leblanc of LPL Financial is currently facing a customer complaint alleging that an investment in a real estate security was unsuitable for the customer’s investment objectives and risk tolerance. Investors that suffered losses with...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tiffany Osman of Equitable Advisors (CRD #5814116). According to FINRA BrokerCheck, Tiffany Osman, a broker with Equitable Advisors, has been hit with an investor dispute for allegedly misrepresenting surrender penalties for a variable annuity sold in 2022. The complaint was settled in favor of the investor. Investors...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Maniscalco of Charles Schwab & Co. (CRD #2994430). According to FINRA BrokerCheck, broker Michael Maniscalco of Charles Schwab & Co. is currently facing an investor dispute alleging that he failed to follow investor instructions by keeping a substantial amount of cash uninvested or in cash equivalents...
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