July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kyle Crilow (CRD# 6715311) of Canopy Roads Advisors, Wells Fargo Advisors, and Wells Fargo Advisors Financial Network, after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging investor damages due to repositioning of the customer’s portfolio that was not in her best interest...
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July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Higgins (CRD# 2871443) of Azzurra Wealth Management and Western International Securities, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) following allegations that he refused to produce information and documents, and refused to appear for on-the-record testimony requested...
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July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kalomira Zangoulos (CRD# 4451124) of Osaic Services, Inc. (f/k/a SagePoint Financial, Inc.), who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that she falsified a personal bank account statement she submitted to her member firm pursuant to a...
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July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jason Stone (CRD# 5455271) of Secura Financial and Arkadios Capital after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $100,000 in investor damages due to unsuitable recommendations to invest in alternative investments, failure to supervise, breach of contract, material misrepresentations, and breach...
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July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker William Bredthauer (CRD# 2266233) of Ameriprise Financial Services, after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $354,800 in investor damages due to allegations that the advisor invested the customer’s qualified account contributions into a managed account in March and April 2024...
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July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Curtis Edmark (CRD# 1596961) of Centaurus Financial after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $150,000 in investor damages due to unsuitable recommendations to invest in high-risk, speculative, and illiquid investments, and breach of fiduciary duty. According to FINRA BrokerCheck, broker...
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July 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Erik Olson (CRD# 4794857) of Arete Wealth Management after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $104,832.47 in investor damages due to unsuitable recommendations to invest in alternative investments. According to FINRA BrokerCheck, broker Erik Olson is currently registered with Arete...
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June 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gregg Gravenstine (CRD# 1762521) of Morgan Stanley, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that he executed cash journals from a customer’s account to an account owned by the customer’s father, without obtaining approval from the...
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June 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Stuart Spivak (CRD# 1883651) of Spivak Financial Group and Centaurus Financial after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $150,000 in investor damages due to unsuitable recommendations to invest in a high-risk, illiquid investment, and breach of fiduciary duty. According to...
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June 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tom Reyes (CRD# 3168338) of Raymond James Financial Services and Next Financial Group, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) following allegations that he refused to appear for on-the-record testimony requested by FINRA, in connection with the...
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June 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bryan Noonan (CRD# 4864372) of Raymond James Financial Services, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) following allegations that he refused to respond to requests for information and documents sent by FINRA in connection with the regulator’s...
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June 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Azmi Sharif (CRD# 6481342) of Sharif Wealth Strategies and LPL Financial, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that he participated in private securities transactions without providing prior written notice to his firm. FINRA found that...
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June 27, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joel Harworth (CRD# 3131373) of Centaurus Financial after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $93,000 in investor damages due to unsuitable recommendations to invest in a high-risk, illiquid investment, and breach of fiduciary duty. According to FINRA BrokerCheck, broker Joel...
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June 27, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Benny Ongkobudidjojo (CRD# 5668611) of Transamerica Financial Advisors after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $225,000 in investor damages due to failure to recommend investments or an investment strategy appropriate for the client. According to FINRA BrokerCheck, broker Benny Ongkobudidjojo...
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June 27, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Davin Carey (CRD# 5413012) of Avantax Investment Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $125,000 in investor damages due to unsuitable investment recommendations. According to FINRA BrokerCheck, broker Davin Carey is currently registered with Avantax Investment Services in Oxnard,...
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June 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Daryl Calton (CRD# 1002304) of Calton & Associates after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $286,200 in collective investor damages due to unsuitable investment recommendations. The complaints allegedly relate to investments in real estate securities. According to FINRA BrokerCheck, broker...
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June 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Howle (CRD# 1284162) of USCA Securities after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $499,999 in investor damages due to the recommendation and performance of specific securities purchased in the customer’s accounts which were selected as part of a broader...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Louis Vargo (CRD# 1416101) of FSC Securities (now known as Osaic Wealth), after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $177,000 in collective investor damages due to unsuitable recommendations to invest in alternative investments. According to FINRA BrokerCheck, broker Louis Vargo...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ronnie Dumag (CRD# 4783585) of PFS Investments, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) following allegations that he refused to produce information and documents requested by the regulator in connection with its investigation into his potential conversion...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Patrick Jenkins (CRD# 5261717) of Crown Capital Securities and CreativeOne Securities after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $100,000 in investor damages due to failure to supervise, breach of contract, material misrepresentations, breach of fiduciary duty and lack of suitability...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kelly Hejtmancik (CRD# 4535262) of MML Investors Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $70,000 in investor damages due to taking a personal loan of $70,000 from the customer’s investments to buy a condominium, and failing to contact the...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Meredith Lyon (CRD# 6021833) of United Planners’ Financial Services of America, after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $99,999 in investor damages due to Breach of fiduciary Duty, violation of NASD and NYSE Rules, Breach of Contract and Negligence. According...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Maria Valido (CRD# 6324596) of Infinex Investments (now known as Osaic Institutions), after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $100,000 in investor damages due to investment recommendations that were unsuitable in light of the customer’s desire for safety and principal...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Pigeon (CRD# 2354079) of Infinex Investments (now known as Osaic Institutions), after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $120,000 in investor damages due to failure to observe high standards of commercial honor and just and equitable principles of trade....
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Matthew Leisman (CRD# 2113061) of Westport Advisory Group and Moloney Securities after two customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $400,000 in collective investor damages due to unsuitable investment recommendations and negligence. The customer complaints were both settled in favor of the...
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June 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gino Rahman (CRD# 2476187) of Merrill Lynch and L.M. Kohn & Company, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) following allegations that he engaged in an outside business activity by providing certain services to a customer in...
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June 24, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rosaline Alam (CRD# 5742202) of Lincoln Investment and Pruco Securities, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following her failure to provide information and documents as requested by FINRA in connection with the regulator’s investigation into allegations...
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June 24, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Monica Osborne (CRD# 3256608) of Jones & Roth Financial Advisors and Avantax Investment Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $200,000 in investor damages due to unsuitable investment recommendations. According to FINRA BrokerCheck, broker Monica Osborne is currently registered...
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June 24, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gali Horev (CRD# 5138931) of HN Financial Group and Dempsey Lord Smith after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $394,486 in investor damages due to fraud, deceit, and misrepresentation and omissions of material facts. According to FINRA BrokerCheck, broker Gali...
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June 24, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Bruscianelli (CRD# 4177839) of JBT Wealth Management and B. Riley Wealth Management, following the filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging $260,000 in investor damages due to unsuitable investments in the client’s retirement accounts. According to FINRA BrokerCheck, broker Mark...
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