June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gregory Libby (CRD# 2455485) of Morgan Stanley. According to FINRA BrokerCheck, broker Gregory Libby of Morgan Stanley is currently involved in a customer complaint alleging $500,000 in damages due to an unsuitable investment strategy and unsuitable investment recommendations. Investors that suffered losses with broker Gregory Libby are...
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June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Andrew Ciccone (CRD# 6864958) formerly of Charles Schwab & Co. According to FINRA BrokerCheck, broker Andrew Ciccone is currently involved in a customer complaint alleging between $500,000 and $1,000,000 in damages. The complaint alleges that the representative provided specific trading guidance and trading strategies that were not...
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June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Amy Cranfill (CRD# 6629436) of Stifel, Nicolaus, & Co., Inc. after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $300,000 in damages due to unsuitable recommendations to invest in an annuity. The dispute was denied, however, it is important to know that...
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June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rawney McVaney (CRD# 1991351) formerly of Emerson Equity. According to FINRA BrokerCheck, broker Rawney McVaney is involved in a customer complaint alleging $1,000,000 in investor damages. The complaint alleges Overconcentration and other securities violations related to unsuitable recommendations to invest in private placement investments. Investors that suffered...
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June 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Will Olinger (CRD# 2289684) of Koss-Olinger Consulting. According to the SEC’s AdviserInfo, investment advisor Will Olinger 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 of the allegations. Investors that...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Alan Bartlett Harrison (CRD# 1616987) of Concorde Investment Services. According to FINRA BrokerCheck, broker Alan Bartlett Harrison of Concorde Investment Services is facing several customer complaints alleging $325,000 in collective investor damages. The complaints allegedly relate to unsuitable recommendations to invest in DPP&LP Interest investments. Investors that...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tony Gallea a/k/a Anthony Michael Gallea (CRD# 713980) formerly of Morgan Stanley. According to FINRA BrokerCheck, broker Tony Gallea formerly of Morgan Stanley is currently involved in a customer complaint alleging $429,000 in damages due to covered option trading recommendations which were unsuitable for the clients. Investors...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Lickiss a/k/a Michael Jerome Lickiss Jr. (CRD# 5135936) formerly of Arkadios Capital and PKS Investments. Lickiss is currently registered as an investment advisor with Pacific Wealth Advisory Services. According to FINRA BrokerCheck, broker Michael Lickiss is currently involved in several customer complaints alleging millions of dollars...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Patrick Maguire (CRD# 4892680) of M Holdings Securities. According to FINRA BrokerCheck, broker Patrick Maguire of M Holdings Securities is involved in a customer complaint alleging $1,234,482 in investor damages due to failure to exercise reasonable care and diligence in the sale of a Fixed Universal Life...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Philip Simonides (CRD# 1847411) formerly of Purshe Kaplan Sterling Investments. According to FINRA BrokerCheck, broker Philip Simonides is currently facing an investor complaint alleging $157,747 in damages due to recommendations to invest unsuitable NP Skyloft DST investments. Investors that suffered losses with broker Philip Simonides are encouraged...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Maury Lomax (CRD# 4389255) of Morgan Stanley. According to FINRA BrokerCheck, broker Maury Lomax of Morgan Stanley is currently involved in a customer complaint alleging $1,000,000 in damages due to unsuitable investment recommendations that were not in the customers’ best interests. Investors that suffered losses with broker...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Alex Forschner (CRD# 5330416) formerly of Maxim Group. According to FINRA BrokerCheck, broker Alex Forschner of Maxim Group is involved in a customer complaint alleging $2,000,000 in investor damages due to violations of the Michigan Uniform Securities Act, misrepresentation and omission of material facts, use of manipulative...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rob Siracusano (CRD# 2717239) of Wells Fargo Advisors and Wells Fargo Advisors Financial Network. According to FINRA BrokerCheck, broker Rob Siracusano of Wells Fargo Advisors is facing a customer complaint alleging at least $1,000,000 in damages, in connection with unsuitable recommendations to purchase an annuity and mutual...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Ginestro (CRD# 2468911) of Merrill Lynch. According to FINRA BrokerCheck, broker Michael Ginestro of Merrill Lynch is facing a pending customer complaint alleging $2,400,000 in damages due to an unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in the customer’s best interest....
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Phillip Anderson (CRD# 814936) formerly of Kingswood Capital Partners and Niagara International Capital. According to FINRA BrokerCheck, Phillip Anderson, a former broker at Kingswood Capital Partners and Niagara International Capital, has been suspended by the Financial Industry Regulatory Authority (“FINRA”) due to findings that he made recommendations...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Krikor Demirjian (CRD# 4212275) formerly of Western International Securities. According to FINRA BrokerCheck, broker Krikor Demirjian is currently involved in a customer complaint alleging $2,500,000 in investor damages. The complaint alleges unsuitable and misleading investment recommendations. Investors that suffered losses with broker Krikor Demirjian are encouraged to...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Marco Oreamuno (CRD# 4903418) of Bolton Global Capital. According to FINRA BrokerCheck, broker Marco Oreamuno of Bolton Global Capital is involved in several customer complaints alleging over $200,000 in collective investor damages due to unauthorized trading, overconcentration, and other securities violations. Investors that suffered losses with broker...
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June 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Pamela Tipton (CRD# 5967109) formerly of Edward Jones. Tipton is currently registered with Raymond James in Montgomery, TX. According to FINRA BrokerCheck, broker Pamela Tipton is currently involved in a customer complaint alleging $470,000 in damages. The customer alleges she was not advised of the tax implications...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kevin Kuehn (CRD# 4875040) of Lincoln Financial Advisors (now known as Osaic Wealth Inc.). According to FINRA BrokerCheck, broker Kevin Kuehn is currently involved in a customer complaint alleging unsuitable recommendations to invest in oil & gas investments and $200,000 in investor damages. Investors that suffered losses...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker James Studinger (CRD# 2725496) of Kestra Investment Services. According to FINRA BrokerCheck records, broker James Studinger of Kestra Investment Services has been involved in a customer dispute which alleged investor damages due to unsuitable recommendations to invest in DPP&LP Interest investments. The customer complaint was settled in...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Patrick Kelly (CRD# 1258726) of Sigma Financial Corporation and Sigma Planning Corporation. According to FINRA BrokerCheck, broker Patrick Kelly of Sigma Financial Corp. and Sigma Planning Corp., is facing a customer complaint alleging $200,000 in damages due to failure to follow the customer’s instructions to sell their...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Reynolds (CRD# 1639111) of Oppenheimer & Co. According to FINRA BrokerCheck, broker Mark Reynolds is currently involved in a customer complaint alleging $865,072 in investor damages due to Violations of Federal and State Securities Laws; Failure to Supervise; Breach of Fiduciary Duty; Negligence and Suitability; Violations...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bruce Manasevit (CRD# 3010880) of Merrill Lynch. According to FINRA BrokerCheck, broker Bruce Manasevit of Merrill Lynch is facing a pending customer complaint alleging $500,000 in damages due to unsuitable investment recommendations, misrepresentation, and unauthorized trading. Investors that suffered losses with broker Bruce Manasevit are encouraged to...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Alan Ertel (CRD# 1792720) of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Alan Ertel is currently involved in a J.P. Morgan Securities customer complaint alleging $904,214 in investor damages. The complaint alleges unsuitable recommendations to invest in Common & Preferred Stocks which were not in the...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Debra Schleining a/k/a Debra Jo Hinton (CRD# 2768752) of McDermott Investment Services. According to FINRA BrokerCheck, broker Debra Schleining of McDermott Investment Services is involved in a customer complaint alleging $1,580,000 in damages due to recommendations to invest in unsuitable DST investments. The customer further alleges inadequate...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Adam Brunin (CRD# 4407663) of Navigation Wealth Management, and formerly of Sigma Financial Corporation. According to the Securities and Exchange Commission’s AdviserInfo, Adam Brunin of Navigation Wealth Management is facing several customer complaints. One of the complaints filed alleges $210,000 in damages, related to allegations including...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Lee Jerke (CRD# 5129935) of LPL Financial. According to the Financial Industry Regulatory Authority (FINRA), on March 3, 2025, Jerke was permanently barred from the securities industry due to findings that he refused to provide documents and information as requested by FINRA in connection to its...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Pamela Lizanich (CRD# 5742762) formerly of Voya Financial Advisors, IFS Securities, and NYLife Securities. According to FINRA BrokerCheck, broker Pamela Lizanich is involved in a customer dispute which alleges $499,999 in damages due recommendations of illiquid, complex and unsuitable alternative investments. Further, the customer alleges that the...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sherri Desjardins (CRD# 6310011) of Centaurus Financial Inc. According to FINRA BrokerCheck, broker Sherri Desjardins of Centaurus Financial, Inc. is currently facing a customer complaint alleging unsuitable recommendations to invest in high-risk, speculative, and illiquid investments. Investors that suffered losses with broker Sherri Desjardins are encouraged to...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Saied Zangenehpour (CRD# 4672179) formerly of Lincoln Financial Advisors. According to FINRA BrokerCheck, broker Saied Zangenehpour is currently involved in a customer complaint alleging unsuitable recommendations to invest in oil & gas investments and $100,000 in investor damages. Investors that suffered losses with broker Saied Zangenehpour are...
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