March 11, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jayson Pocius (CRD# 6018543) of JM Equity Advisors and Wells Fargo Advisors Financial Network, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his failure to appear for on-the-record testimony as requested by FINRA in connection with the...
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March 11, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Forrest Wester (CRD# 2559502) of Wells Fargo Clearing Services, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his failure to produce information and documents as requested by FINRA in connection with the regulator’s investigation concerning his potential...
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March 10, 2024 | Broker / Advisor Investigation
If you have investment losses due the actions of Arif Ahmed of First Republic Securities Company and J.P. Morgan Securities, 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 Arif...
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March 9, 2024 | Broker / Advisor Investigation
If you have investment losses due the actions of Broker Darryl Cohen, 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 Darryl Cohen (CRD# 2786613) of Morgan Stanley, following the...
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March 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joey Hobbs (CRD# 5092184) of LPL Financial after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $235,000 in damages due to failure to follow the customer’s instruction and purchasing a different product than requested. The complaint allegedly relates to recommendations to invest...
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March 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bryce Hamilton (CRD# 4296113) of CliftonLarsonAllen Wealth Advisors, Kingswood Capital Partners and Financial Gravity Family Office Services, following the filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging up to $300,000 in investor damages, in connection with recommendations to invest in unsuitable, illiquid,...
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March 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Williams (CRD# 4061842) of Kingswood Capital Partners and Financial Gravity Family Office Services following the filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging up to $300,000 in investor damages, in connection with recommendations to invest in unsuitable, illiquid, and high-risk GWG...
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March 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ralph Freedman (CRD# 2474616) of Ameriprise Financial Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $1,250,000 in damages due to an unsuitable recommendation to hold stocks in the customer’s portfolio. Although the complaint was denied by the firm, investors should...
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March 6, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brett Ewing (CRD# 2904608) of Centaurus Financial after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging unsuitable recommendations to invest in an illiquid alternative investment. The complaint allegedly relates to recommendations to invest in a real estate security. According to FINRA BrokerCheck,...
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March 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Kristi Berge (CRD# 5009693) of KSI Financial (“Keep Safe Investments”) who has been charged with wire fraud after allegedly misappropriating $1.6 million in client investment funds according to an announcement by the U.S. Attorney’s Office for the District of Minnesota. From June 2020 through February 2023,...
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March 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker William Beasley Jr. (CRD# 1750089) of Morgan Stanley and BHK Securities after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging he did not act in the customer’s best interest with respect to managed accounts. According to FINRA BrokerCheck, broker William Beasley was...
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February 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Leslie Lauer (CRD# 2941432) of UBS Financial Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging up to $1,000,000 in investor damages due to unsuitability and misrepresentation, with respect to recommendations to invest in and hold an options overlay strategy. According...
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February 28, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Phil Jones (CRD# 2445213) of Merrill Lynch after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $5,000,000 in investor damages due to misrepresentation, omissions, and unsuitable recommendations to invest in structured products. According to FINRA BrokerCheck, broker Phil Jones is currently registered...
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February 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joseph Andreoli (CRD# 1718688) of Raymond James after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging unsuitable recommendations to invest in structured products. The complaint was settled in favor of the investor for $165,000. According to FINRA BrokerCheck, broker Joseph Andreoli is...
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February 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker James Viktora (CRD# 5284023) of Merrill Lynch after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging that the Power of Attorney for a deceased customer alleges failure to follow instructions and unauthorized transfer of account. According to FINRA BrokerCheck, broker James Viktora...
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February 26, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Edward Rosenblatt (CRD# 2658712) of Cetera Advisor Networks and Cetera Investment Advisors, after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $200,000 in investor damages due to breach of fiduciary duty, breach of written contract, breach of oral contract, and failure to supervise...
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February 21, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Davidson (CRD# 4585780) of Equitable Advisors and Victory Financial, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that he participated in a private offering of securities that raised $10.21 million for a company that he founded...
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February 2, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Marianna Goldenberg (CRD# 2165876) of Commonwealth Financial Network after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging failure to notify the customer to elect to exercise an annuity’s GMIB rider before the deadline. According to FINRA BrokerCheck, broker Marianna Goldenberg is currently...
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February 2, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Troy Orlando (CRD# 6055474) of Spartan Capital Securities, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that he recommended a series of trades in customer accounts that were excessive, unsuitable, and not in the customers’ best interest....
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February 2, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Daniel Snodgrass (CRD# 4083817) of BCG Securities, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his failure to comply with an arbitration award or to satisfactorily respond to a FINRA request to provide information concerning the status of...
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February 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Randy Redd (CRD# 4551799) of LPL Financial after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging embezzlement of funds through a private real estate transaction. According to FINRA BrokerCheck, broker Randy Redd is currently registered with LPL Financial in Chandler, AZ. Investors...
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February 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lucas Hales (CRD# 6258497) of Virtu Americas and Virtu 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 totaling $3 million without disclosing his participation to his member firm at...
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February 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeff Carlton (CRD# 1132967) of UBS Financial Services after he was terminated from the firm due to loss of confidence after he allegedly violated firm policy by soliciting leveraged ETFs and mismarking trades as unsolicited. According to FINRA BrokerCheck, broker Jeff Carlton was previously registered with UBS...
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February 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Doug Nelson (CRD# 4609776) of Kingswood Capital Partners after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $250,000 in investor damages in connection with unsuitable and misleading investment recommendations to invest in and hold GWG Holding Inc.’s L Bonds (“GWG L Bonds”)...
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February 1, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peter Maniscalo (CRD# 4435025) of Avantax Investment Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $300,000 in investor damages in connection with a mutual fund purchased within the customer’s 401k which was not suitable and resulted in a loss. According...
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January 31, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Seth Waltz (CRD# 4579332) of MSI Investors Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging an unsuitable and misrepresented investment recommendation, in which the customer sustained a monetary loss. According to FINRA BrokerCheck, broker Seth Waltz was previously registered with...
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January 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker James Blaszyk (CRD# 5364851) of Wells Fargo Clearing Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $400,000 in investor damages in connection with unsuitable investment recommendations. According to FINRA BrokerCheck, broker James Blaszyk, is currently registered with Wells Fargo Clearing...
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January 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jesus Rodriguez (CRD# 4888685) of Morgan Stanley, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) and is facing a complaint by the Securities and Exchange Commission (“SEC”) following allegations that he engaged in a fraudulent scheme to misappropriate...
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January 25, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Douglas McKelvey (CRD# 4502849) of Morgan Stanley, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) and Securities and Exchange Commission (“SEC”) following allegations that he engaged in a fraudulent scheme through which he misappropriated more than $1.7 million...
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January 23, 2024 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Estevao Semedo (CRD# 4631886) of PFS Investments, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his failure to provide information and documents as requested by FINRA in connection with the regulator’s investigation into whether he engaged in...
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