September 28, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rich Ceffalio a/k/a Richard Allen Ceffalio Jr. (CRD# 2619565) of Providence Private Wealth, NewEdge Advisors, LPL Financial, and Wells Fargo Clearing Services, after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging over $8,000,000 in collective investor damages. Investors that suffered losses with...
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September 28, 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. Barouti has reportedly been involved in 62 customer complaints with the Financial Industry Regulatory Authority (“FINRA”). Barouti’s customers are seeking over $5 million in...
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September 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Amanda Nicole Wiggins (CRD# 5526300) after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”). According to FINRA BrokerCheck, the claimant alleges that from 2021 through 2022, Amanda Nicole Wiggins was part of a team that made unsuitable investments and engaged in unauthorized trading,...
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September 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brandon Jerome Larsen (CRD# 6192239) of Thrivent Investment Management. According to the Financial Industry Regulatory Authority (FINRA), Brandon Larsen was recently sanctioned and suspended in connection with alleged rule violations. A Letter of Acceptance, Waiver, and Consent (No. 2024081055001) describes FINRA’s disciplinary action against Mr. Larsen. Filed in August...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Kluksdal (CRD#: 4850332) of Capital Financial Solutions offering securities through Cetera Wealth Services LLC. Broker David Kluksdal is currently the subject of a customer complaint out of Albuquerque, NM alleging $500,000 in damages. According to FINRA BrokerCheck, the claim alleges that as a representative of Cetera...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Hoss Esmaeili a/k/a Hossien Esmaeili (CRD#: 5581440) formerly of Cambridge Investment Research, Inc. Broker Hoss Esmaeili formerly of Cambridge Investment Research is currently the subject of a customer complaint alleging $439,114 in damages. According to FINRA BrokerCheck, the claim alleges an unauthorized sale and transfer of funds...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Victor Sibilla (CRD#: 1783361) of Westpark Capital, Inc. Broker Victor Sibilla of Westpark Capital is currently the subject of a customer complaint alleging $100,000 in damages. According to FINRA BrokerCheck, the claim alleges negligence, failure to comply with best interest & suitability, and other securities violations in...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Amber Stoll (CRD#: 6937254) formerly of Merrill Lynch, Pierce, Fenner & Smith, Inc. Broker Amber Stoll, formerly of Merrill Lynch, Pierce, Fenner & Smith, Inc., is currently the subject of a customer complaint alleging $1,000,000 in damages. According to FINRA BrokerCheck, the claim alleges that Stoll failed...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jared Mark Guenkauf (CRD#: 4591389) of Merrill Lynch, Pierce, Fenner & Smith, Inc. Broker Jared Mark Guenkauf of Merrill Lynch, Pierce, Fenner & Smith, Inc. is currently the subject of a customer complaint alleging $1,000,000 in damages. According to FINRA BrokerCheck, the claim alleges that Guenkauf failed...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert William Woods (CRD#: 820999) of Wedbush Securities, Inc. Broker Robert William Woods of Wedbush Securities, Inc. is currently the subject of a customer complaint alleging $1,089,925 in damages. According to FINRA BrokerCheck, the claim asserts causes of action including breach of fiduciary duty, negligence, unsuitable investment...
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September 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Davis Harris Jr. (CRD#: 2982772) of Merrill Lynch, Pierce, Fenner & Smith, Inc. According to FINRA BrokerCheck, broker Michael Davis Harris Jr. of Merrill Lynch, Pierce, Fenner & Smith, Inc. is currently the subject of a customer complaint alleging between $500,000 and $1,000,000 in damages. The...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jerice Walker (CRD#: 5040177) of Wells Fargo Clearing Services, LLC. According to FINRA BrokerCheck, broker Jerice Devon Walker of Wells Fargo Clearing Services, LLC is currently the subject of a customer complaint alleging $1,003,025.92 in damages. The complaint alleges that in April 2025, Walker failed to follow...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Spencer Hilligoss (CRD# 7289560). Hilligoss was previously registered with Finalis Securities LLC and Growth Capital Services, Inc. According to publicly available records, broker Spencer Hilligoss may have marketed private placements related to Prestige Funds and Paramount Management Group to his customers. Paramount Management Group LLC and Prestige...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Simon Michael Joseph a/k/a Simon Michael Youssef (CRD#: 5602157). According to FINRA BrokerCheck, on August 8, 2025, broker Simon Michael Joseph consented to sanctions of a 6 month suspension and $5,000 fine after failing to disclose a Consent Order from the Securities Commissioner of Maryland on his...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker Bradley Goodbred (CRD#: 3184210) of LPL Financial. According to FINRA BrokerCheck, former broker Bradley Goodbred of LPL Financial, LLC has been sentenced to 6 years in prison for stealing more than $1 million from elderly client with dementia. Investors that suffered losses with broker Bradley Goodbred...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jordan Meadow (CRD# 4625407) of Spartan Capital Securities. According to FINRA BrokerCheck, broker Jordan Meadow formerly of Spartan Capital Securities, LLC has been barred by the Financial Industry Regulatory Authority (“FINRA”) for refusing to testify in connection with an investigation into his potential participation in excessive trading...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jaime Sanchez Rivera (CRD#: 6013022) of First Southern LLC. According to FINRA BrokerCheck, broker Jaime I. Sanchez Rivera, formerly of First Southern LLC, was suspended and is currently facing a customer complaint alleging $250,000 in damages. The complaint alleges that Sanchez Rivera falsified documents that he provided...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Brandeen (CRD#: 2894744) of Western International Securities, Inc.. According to FINRA BrokerCheck, broker Jeffrey Brandeen of Western International Securities has 6 disclosures, including customer complaints and a recent financial disclosure regarding an amount owed to a creditor. Investors that suffered losses with broker Jeffrey Brandeen are...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mason Luke (CRD#: 7338652) of Farmers Financial Solutions LLC. According to FINRA BrokerCheck, broker Mason Luke of Farmers Financial Solutions was recently terminated by Farmers Financial Solutions LLC following allegations that he “issued 27 Homeowners insurance policies between January 15, 2025 and February 19, 2025 without the...
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September 3, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Rosenmeyer (CRD #2352488) of Oppenheimer & Company, Inc. According to FINRA BrokerCheck, broker Michael Rosenmeyer of Oppenheimer & Company, Inc. has 23 disclosures and is currently facing a customer complaint alleging $500,000 in damages. The complaint alleges negligence, unsuitability, and other violations of state and federal...
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August 7, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ali Chehab (CRD# 7625979) formerly of Merrill Lynch. According to FINRA BrokerCheck, broker Ali Chehab, formerly of Merrill Lynch, is currently being investigated by the Financial Industry Regulatory Authority (“FINRA”) for alleged violations of FINRA rules, including sales practice violations including selling away, unauthorized trading, and making...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kim Kunz (CRD# 718618) formerly of WestPark Capital, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01390), alleging investor damages of $60,000 due to unsuitable recommendations to invest in GWG L Bonds. Broker Kim Kunz was suspended...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues to investigate broker Ray Gallette (CRD#3041923) formerly of Realta Equities (formerly known as Coastal Equities) and Gallette Financial following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01423), alleging investor damages up to $500,000 due to unsuitable recommendations to invest...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues to investigate broker Lorraine Gallette (CRD# 6192487) of Coastal Equities, Inc., and Gallette Financial as the number of customer complaints filed with the Financial Industry Regulatory Authority (“FINRA”) rises to 12. KlaymanToskes is currently representing customers of financial advisors Lorraine and Ray Gallette. According to FINRA BrokerCheck, Lorraine Marie...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Timothy Brown (CRD# 1663519) formerly of Emerson Equity and Newbridge Securities, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01453), alleging investor damages of up to $500,000 due to unsuitable recommendations to invest in GWG L Bonds. ...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Todd Walker (CRD# 2503388) of Centaurus Financial Inc. after the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00555), alleging $200,000 in investor damages due to unsuitable recommendations to invest in high risk and illiquid GWG L Bonds, and other...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Randy Birkinbine (CRD# 2008599) of Ausdal Financial Partners after after the law firm’s filing of several customer complaints with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00543 and Claim No. 24-00857), alleging over $500,000 in investor damages due to unsuitable recommendations to invest in high risk...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Culwell (CRD# 5989109) of Emerson Equity and Irvine Advisors, after the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging $300,000 in investor damages due to unsuitable recommendations to invest in Madison Realty Senior Care CO Aspen House DST (“Aspen...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Katie Wei (CRD# 6242083) a/k/a Lanting Wei, formerly of Cetera Investment Services, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00417), alleging investor damages of $300,000 due to unsuitable recommendations to invest in alternative investments including Northstar...
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August 1, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Xiao-Mei Chen (CRD# 4062457) of NYLife Securities, after the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00795), alleging investor damages over $5,000,000 due to unsuitable recommendations to invest in life insurance policies and annuity investments. Investors that suffered...
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