August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Mark Creason, 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 Mark Creason (CRD# 6617847) of Emerson Equity, following the law firm’s filing of a...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jimmy Driggers (CRD# 1359593) after two customer complaints alleging over $4,000,000 in collective damages were filed with the Financial Industry Regulatory Authority (“FINRA”). One claim alleges that Driggers made unsuitable Alternative Investment recommendations, while the other alleges that Driggers used funds from Liquidity Asset Lines set up...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Jeffrey Noard, 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 Jeffrey Noard (CRD# 1983392) of Emerson Equity and Cabot Lodge...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Daniel Beech of Western International (CRD# 6169844), following the filing of 20 customer complaints alleging over $2 million in collective investor damages against the Westlake Village, California-based broker in connection with the unsuitable sale of alternative and illiquid investments. KlaymanToskes previously reported that the firm filed a...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Angelo Talebi, 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 Angelo Talebi of Beverly Hills Financial Planners (CRD# 2243829), following the filing of...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of William King of Merrill Lynch, 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 William (Bill) King of Merrill Lynch (CRD# 1432593), a leading broker of Merrill Lynch’s King...
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August 1, 2025 | Broker / Advisor Investigation
Terry Sloan Thompson (CRD# 2588490), a former broker with Truist Investment Services, has been named in over 39 investor complaints, with at least 33 resulting in financial settlements totaling more than $5.5 million, according to FINRA BrokerCheck. These disputes span from 2022 to 2025, with the vast majority occurring in 2024 and 2025—and more allegations...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Chuck Roberts of Stifel, Nicolaus, & Co., 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. Did You Invest With Chuck Roberts at Stifel, Nicolaus & CO.? National investment...
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August 1, 2025 | Broker / Advisor Investigation
If You Suffered Losses With Financial Advisor Tony Barouti, Contact the Law Firm of KlaymanToskes National investment loss lawyers KlaymanToskes continues to investigate broker Tony Barouti (CRD# 3031995) of Emerson Equity following the filing of 59 customer complaints with the Financial Industry Regulatory Authority (“FINRA”). Barouti’s customers are seeking over $5 million in collective damages...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Justin Funakura, 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 continues investigating broker Justin Funakura (CRD# 5718194) of Farmers Financial Solutions, who has been suspended by...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker James Burton, 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 continues investigating broker James Burton (CRD# 5051310) of Farmers Financial Solutions, following the law firm’s representation...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Rajesh Markan, 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 continuing its investigation of financial advisor Rajesh Markan (CRD# 4553309) of...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Richard Wesselt , 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 Richard Wesselt (CRD# 2195569) of Wesselt Capital Group, Fortune...
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August 1, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Gilbert Russell Conrad, 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 continues investigating broker Russ Conrad a/k/a Gilbert Russell Conrad (CRD# 2746778) following...
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August 1, 2025 | Broker / Advisor Investigation
If you suffered losses in Lightstone Value Plus REIT due to recommendations by your broker/financial advisor, 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 brokerage firms and financial advisors who unsuitably recommended investments in...
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July 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Alicia Hinojosa (CRD# 2964653) formerly of Merrill Lynch. Alicia Hinojosa is currently registered as a broker with Safra Securities in New York, NY. According to FINRA BrokerCheck, broker Alicia Hinjosa is facing an investor complaint alleging $1,800,000 in damages. An additional, previous customer complaint alleged unauthorized trading...
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July 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Roderick Rodriguez (CRD# 2680445) of Osaic Institutions, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01454), alleging investor damages of $160,000 due to unsuitable recommendations to invest in National Healthcare Properties Inc. and Peakstone Realty Trust REIT. ...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brian Gardiner (CRD# 3268932) formerly of Cabot Lodge Securities and Coastal Equities. Gardiner is currently associated with Vanderbilt Securities. According to FINRA BrokerCheck, broker Brian Gardiner formerly of Cabot Lodge Securities is facing an investor complaint alleging $210,000 in damages. The customers allege violations of Common Law...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Kirk Klein (CRD# 2260326) of Koss-Olinger Consulting and formerly of Valmark Securities. According to the SEC’s AdviserInfo, investment advisor Kirk Klein is currently involved in a customer complaint alleging $1,000,000 in investor damages. The complaint alleges a series of investments and loan guarantees are the sources...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Vincent Dotterweich of Ameriprise Financial Services (CRD# 2267494). According to FINRA BrokerCheck, broker Vincent Dotterweich of Ameriprise Financial is facing a pending investor complaint alleging $2,194,871 in damages. The customer alleges that his advisor assisted his wife in opening individual and joint financial accounts in the customer’s...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nicholas Buttler (CRD# 7080008) of Spartan Capital Securities. According to FINRA BrokerCheck, broker Nicholas Buttler of Spartan Capital Securities is currently involved in a customer complaint alleging $200,000 in damages. The complaint further alleges unsuitable trading activity, unauthorized transactions, and excessive commissions. Investors that suffered losses with...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nicholas Ruch (CRD# 6502251) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Nicholas Ruch, of UBS Financial Services Inc. is currently facing a customer complaint alleging $3,233,690 in damages. The complaint alleges failure to identify and escalate red flag issues associated with financial exploitation and...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Derek Johnson (CRD# 2922680) of Morgan Stanley. According to FINRA BrokerCheck, broker Derek Johnson of Morgan Stanley is currently involved in a customer complaint alleging $750,000 in damages due to unsuitability with respect to equity investments. Investors that suffered losses with broker Derek Johnson are encouraged to...
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July 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jay Spieler (CRD# 1072642) of Oppenheimer & Co. According to FINRA BrokerCheck, broker Jay Spieler is currently involved in a customer complaint alleging $300,000 in investor damages due an ill-timed liquidation of an investment and claims for breach of fiduciary duty, fraud and negligence. Investors that suffered...
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July 21, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gregory McLeod (CRD# 1271500) of Newbridge Securities, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01354), alleging investor damages of $500,000 due to unsuitable recommendations to invest in GWG L Bonds and Prospect Capital Corp. According to...
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July 21, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker William Braun a/k/a Bill Braun (CRD# 1271500) formerly of National Securities Corporation (now known as B.Riley Wealth), following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01240), alleging investor damages of $150,000 due to unsuitable recommendations to invest...
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July 21, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Eric Dupre (CRD# 2174456) of Ameriprise Financial Services, after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $3,011,476 in investor damages and that Dupre stole money from clients, made cryptocurrency investments, and made unsuitable investment recommendations. Dupre was permanently barred as...
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July 21, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tim Clairmont (CRD# 2847591) of Cetera Wealth Services, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Case No. 25-01282), alleging investor damages of $100,000 due to unsuitable recommendations to invest in Madison Realty Aspen House DST. According to FINRA...
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July 15, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Coyle (CRD# 2435184) of Morgan Stanley. According to FINRA BrokerCheck, broker John Coyle of Morgan Stanley is currently involved in a customer complaint alleging $2,023,505 in damages due to unsuitable recommendations to open Liquidity Asset Lines. Investors that suffered losses with broker John Coyle are encouraged...
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July 15, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ralph Jackson (CRD# 1569213) formerly of Morgan Stanley. According to FINRA BrokerCheck, broker Ralph Jackson has been terminated by Morgan Stanley following allegations that he participated in undisclosed and unapproved financial transactions involving clients and third parties. Additionally, Jackson is under investigation by the U.S. Securities and...
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