August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Lawrence of Merrill Lynch (CRD #4225910). According to FINRA BrokerCheck, broker Michael Lawrence of Merrill Lynch is currently facing an investor dispute alleging that he failed to act in the investor’s best interest and failed to supervise, with the investor seeking $350,000. Investors that suffered losses...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Pasquale Evangelista a/k/a Pat Evangelista of Raymond James & Associates (CRD #2443782). According to FINRA BrokerCheck, broker Pasquale Evangelista a/k/a Pat Evangelista of Raymond James & Associates is currently facing an investor dispute alleging a conflict of interest and pressuring an investor to sell securities to pay...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Aramis Perez of Wells Fargo Clearing Services (CRD #5405685). According to FINRA BrokerCheck, broker Aramis Perez has been hit with an investor dispute alleging that he assured an investor that only about half of a stock position would be sold in a rebalancing, but the full position...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker James Landeros of Merrill Lynch (CRD #6447130). According to FINRA BrokerCheck, James Landeros, a broker registered with Merrill Lynch, is currently facing an investor dispute filed on June 18, 2024, alleging that he misrepresented an options strategy. Investors that suffered losses with broker James Landeros are encouraged...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Lynch of LPL Financial LLC (CRD #2142722). According to FINRA BrokerCheck, broker Michael Lynch of LPL Financial is currently facing a customer dispute alleging that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance. The complaint allegedly relates to an...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Perrotto of Cetera Advisors (CRD #4960240). According to FINRA BrokerCheck, broker David Perrotto of Cetera Advisors is currently facing an investor dispute alleging unsuitable investment recommendations which resulted in investor losses. The complaint allegedly relates to an investment in a real estate security. Investors that suffered...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jennifer Immoos-Hernandez of Bankers Life Securities (CRD #6935416). According to FINRA BrokerCheck, broker Jennifer Immoos-Hernandez is currently facing an investor dispute alleging that she failed to follow instructions, resulting in a tax bill of over $50,000. Investors that suffered losses with broker Jennifer Immoos-Hernandez are encouraged to...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Travis Braulick of Bankers Life Securities (CRD# 6716541). According to FINRA BrokerCheck, broker Travis Braulick of Bankers Life Securities is currently involved in an investor dispute where the customer alleges that he recommended the purchase of a Premium Bonus Index Annuity (PBIA) with the firm’s insurance affiliate,...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Pamela Calhoun (CRD #4216320) of Fidelity Brokerage Services and Cetera Investment Advisers. According to FINRA BrokerCheck, broker Pamela Calhoun of Fidelity Brokerage Services has been hit with a customer complaint from January 2024 that alleged overconcentration and unsuitable investment recommendations, which occurred while she was registered with...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Luis Nin of UBS (CRD# 4372587). According to FINRA BrokerCheck, broker Luis Nin was terminated from UBS Financial Services on January 31, 2023, and was hit with a one-month suspension and a $5,000 fine by FINRA due to alleged unauthorized trades in a deceased client’s account and...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ajay Murthy of Wells Fargo Clearing Services (CRD #2316551). According to FINRA BrokerCheck, broker Ajay Murthy is currently facing an investor dispute alleging that he misappropriated $2,228,442.18 from an investor’s account for personal gains. Investors that suffered losses with broker Ajay Murthy are encouraged to contact attorney...
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August 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Grande (CRD# 1219255) of Newbridge Securities, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his failure to fully provide information requested by the regulator in connection with its investigation into the suitability of his recommendations to...
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Leila Gough (CRD# 732270) following her resignation from Wells Fargo Clearing Services, and the firm’s review of allegations involving the unauthorized use of a third party communication system to conduct client business. Gough’s FINRA BrokerCheck disclosure provides the following broker comment: I RETIRED ON JULY 31, 2023...
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Gregory Corrie of Cambridge Investment Research (CRD #1982814). According to FINRA BrokerCheck, broker Gregory Alan Corrie was terminated by Cambridge Investment Research, Inc., and subsequently barred by FINRA due to allegations of excessive use of UIT products. Investors that suffered losses with broker Gregory Corrie are...
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Scott Miller of Ameriprise Financial Services (CRD #4782370). According to FINRA BrokerCheck, Scott Miller, a broker with Ameriprise Financial Services, has been hit with an investor dispute alleging he misrepresented a variable annuity as having a 7% rate of return. The investor alleged $174,787.52 in damages. Although...
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Marat Likhtenstein of Osaic Wealth (CRD # 2470480). According to FINRA BrokerCheck, broker Marat Likhtenstein was barred from the securities industry due to his refusal to provide documents and information and to appear for on-the-record testimony in connection to an investigation of undisclosed personal loan transactions with...
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Stanley Crisci of RBC Capital Markets (CRD #2687393). According to FINRA BrokerCheck, broker Stanley Crisci of RBC Capital Markets is currently facing an investor dispute alleging he did not invest in the plan’s participants’ accounts consistent with their investment objectives, with the investor seeking $100,000 in damages....
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mary McDougall of Merrill Lynch (CRD #1033553). According to FINRA BrokerCheck, broker Mary McDougall is currently facing an investor dispute alleging that she recommended unsuitable investments, executed unauthorized transactions, failed to act in the best interest of the customer, and omitted material facts. The investor is seeking...
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August 22, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Todd Paradise (CRD #4248813) of Cambridge Investment Research and WPG Financial Group. According to a report by Financial Advisor, two customers of Cambridge Investment Research have sued the firm, alleging that Todd Paradise and another advisor, Steve Gessner, “over[-]concentrated their portfolio in illiquid, private investments that were...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Adam Cavise (CRD #4273848) of Revere Securities and Spartan Capital Securities. According to his FINRA BrokerCheck report, Adam Cavise, currently registered with Revere Securities LLC, is facing a pending customer complaint alleging that he failed to follow instructions to sell shares, resulting in losses while he was...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark D’Ercole of Portsmouth Financial Services (CRD #820220). According to FINRA BrokerCheck, Mark D’Ercole of Portsmouth Financial Services is currently facing an investor dispute filed on July 8, 2024, alleging failure to conduct reasonable due diligence, misrepresentation of facts, false statements, failure to supervise, and recommending an...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Allison Terlip of Ameritas Investment Company (CRD #5530486). According to FINRA BrokerCheck, broker Allison Terlip is currently facing an investor complaint alleging she engaged in a deceptive two-part investment strategy and recommended unsuitable investments in equity-indexed annuities, with the investor alleging damages of $817,916. Investors that suffered...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Richard David Stone a/k/a Dave Stone of Stifel Nicolaus & Company Incorporated (CRD #4219856). According to FINRA BrokerCheck, broker Richard David Stone a/k/a Dave Stone is currently facing a customer complaint alleging breach of fiduciary duty, negligence, fraud, breach of contract, and violations of New Jersey and...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bill Darby of Stifel, Nicolaus & Company (CRD #1659917). According to FINRA BrokerCheck, Bill Darby, a broker with Stifel, Nicolaus & Company, has been hit with a customer complaint which alleged that he moved money without the customers’ consent and set up structures that were counter to...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kristopher O’Hare of Merrill Lynch (CRD #6256508). According to FINRA BrokerCheck, broker Kristopher O’Hare of Merrill Lynch is currently facing an investor dispute filed in July 2024, alleging that he executed an unauthorized trade. Investors that suffered losses with broker Kristopher O’Hare are encouraged to contact attorney...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Zachary Anderson of UBS Financial Services (CRD #3247098). According to FINRA BrokerCheck, broker Zachary Anderson is currently facing an investor dispute for allegedly misrepresenting options trading strategies and breaching his fiduciary duty while registered with UBS Financial Services. Investors that suffered losses with broker Zachary Anderson are...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Christopher Lundmark (CRD #3022544) of Ameriprise Financial Services and Independence Square Holdings. According to FINRA BrokerCheck, Christopher Lundmark was terminated by Ameriprise Financial Services in June 2024 due to allegations of failing to comply with the terms of the firm’s heightened supervision plan. Lundmark is currently registered...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sal Bonetti (CRD #4494241) of Insight Folios and Purshe Kaplan Sterling Investments. According to FINRA BrokerCheck, broker Sal Bonetti a/k/a Salvatore Bonetti is currently facing an investor complaint filed in August 2024 alleging that he recommended aggressive stocks to a conservative investor, resulting in alleged damages of...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Glenn Donnell (CRD #2239397) of Sigma Financial Corporation, Securities America, and Investacorp. According to FINRA BrokerCheck, Glenn Donnell was suspended and fined for exercising discretion in customer accounts without written authorization and mismarking trades in marijuana securities while registered with Sigma Financial Corporation. Investors that suffered losses...
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August 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michelle Anthony of Centaurus Financial (CRD# 4512228). According to FINRA BrokerCheck, Michelle Anthony, a broker registered with Centaurus Financial, is currently facing an investor dispute as of June 25, 2024, for allegedly recommending and misrepresenting unsuitable, high-risk illiquid investments and breaching her fiduciary duty. The customer alleges...
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