December 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Christina Lee (CRD# 7318401) of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Christina Lee is currently involved in a J.P. Morgan Securities customer complaint alleging $90,800,000 in investor damages. The complaint alleges violations of the FINRA Conduct Rules of Fair Practice and the SEC’s Regulation Best...
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December 22, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jonathan Wade formerly of Wells Fargo Clearing Services (CRD# 1614237). According to FINRA BrokerCheck, broker Jonathan Wade, formerly of Wells Fargo Clearing Services, is involved in an investor dispute alleging $413,500 in damages, based on allegations that he failed to follow instructions which resulted in unnecessary income...
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December 22, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Dana Vietor (CRD# 873129) formerly of CFD Investments. According to FINRA BrokerCheck, broker Dana Vietor has been permanently barred from acting as a broker by FINRA, in connection with findings that he allegedly engaged in the sale of promissory notes called “Deposit Agreements” in connection with...
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December 22, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Richard Routie (CRD# 4379905) formerly of Ameriprise Financial Services and Cetera Financial Specialists. According to the Financial Industry Regulatory Authority (FINRA), Richard Routie was permanently barred from acting as a broker by FINRA due to findings that he refused to appear for on-the-record testimony requested by...
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December 22, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Zachary Taylor (CRD# 6074776) formerly of Oppenheimer & Co. and Saxony Securities. According to FINRA BrokerCheck, broker Zachary Taylor has been suspended by the Financial Industry Regulatory Authority (“FINRA”) following allegations he willfully violated Rule 15/-1(a)(1) of the Securities Exchange Act of 1934 (Reg BI) by...
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December 22, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Melvin Feldman (CRD# 205924) of GMS Group. According to FINRA BrokerCheck, broker Melvin Feldman is currently involved in a customer complaint alleging $580,000 in damages due to high-risk and unsuitable investment recommendations. The customer alleges that there was a failure to act in the Trust’s best interest....
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December 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Eric Kleiner (CRD# 4135180) of Morgan Stanley, who is involved in 10 customer complaints, alleging that he recommended outside investments not authorized by Morgan Stanley. Kleiner was permanently barred as a broker by the Financial Industry Regulatory Authority over allegations that he was discharged by Morgan...
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December 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mike Jarvis a/k/a Michael William Jarvis (CRD# 2160274) of Legacy Financial Advisors and Cetera Wealth Services. According to FINRA BrokerCheck, broker Mike Jarvis is currently involved in a customer complaint alleging $800,000 in damages due to excessive advisory fees. Investors that suffered losses with broker Mike Jarvis...
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December 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Lowry (CRD# 4336146) of Spartan Capital Securities. According to FINRA BrokerCheck, broker John Lowry, CEO of Spartan Capital Securities, LLC, is involved in a FINRA complaint alleging serious supervisory and compliance failures tied to repeated violations of FINRA Rule 8210. The action also names the firm’s...
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December 8, 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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December 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Carter (CRD# 6387371) of Carter Financial Group and Pruco Securities/Prudential Financial Planning Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $500,000 in investor damages due to unauthorized trading in several retirement accounts. The complaint was settled in favor of...
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December 7, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Steve Franko a/k/a Stephen Michael Franko (CRD# 2157707) of Independence Capital Co. According to FINRA BrokerCheck, broker Steve Franko, of Independence Capital Co., is suspended from acting as a broker by FINRA in relation to the regulator’s investigation into allegations that he recommended that customers invest...
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December 7, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Taylor Armstrong (CRD# 6984140) of Aurora Securities. According to FINRA BrokerCheck, broker Taylor Armstrong is involved in a customer complaint alleging $5,000,000 in investor damages. The complaint relates to mismanagement of the customer’s accounts at Aurora Securities. Investors that suffered losses with broker Taylor Armstrong are encouraged...
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December 7, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Troy Robertson (CRD# 6831574) of Emerson Equity. According to FINRA BrokerCheck, broker Troy Robertson is involved in several customer complaints alleging up to $1,188,000 in collective investor damages. The complaints relate to unsuitable real estate investments at Emerson Equity. Investors that suffered losses with broker Troy Robertson...
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December 7, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kirk Badii (CRD# 5829768) of Badii Financial Group and Independent Financial Group. According to FINRA BrokerCheck, broker Kirk Badii of Badii Financial Group has been involved in several customer complaints alleging unsuitable investment recommendations, excessive risk, unauthorized trading, and significant portfolio losses. A pending complaint alleges $2,730,000...
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November 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker TJ Shopa a/k/a Thomas John Shopa Jr. (CRD# 4182416) formerly of Lincoln Financial Advisors. Shopa is currently registered as a broker with Equitable Advisors, LLC. According to FINRA BrokerCheck, broker TJ Shopa is currently involved in a customer complaint alleging $2,200,000 in damages due to a substantial...
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November 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Philip Hoang (CRD# 5134140) of Morgan Stanley. According to FINRA BrokerCheck, broker Philip Hoang of Morgan Stanley is currently involved in a customer complaint alleging $1,737,815 in damages due to unsuitable recommendations, investment losses, and a Liquidity Access Line. The complaint also allegedly relates to investments in...
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November 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jack Bruscianelli (CRD# 2113986) of JBT Wealth Management and B. Riley Wealth Management. According to FINRA BrokerCheck, broker Jack Bruscianelli of B. Riley Wealth Management, and also doing business as JBT Wealth Management, is currently involved in a customer complaint alleging $250,000 in damages due to unsuitable...
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November 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating suspended broker Kirk Crossen (CRD# 2742256) formerly of Morgan Stanley and Raymond James. According to FINRA BrokerCheck, broker Kirk Crossen, formerly of Morgan Stanley, is currently involved in several customer complaints alleging over $6,872,000 in collective investor damages. Crossen was suspended from acting as a broker by FINRA...
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November 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Adam Chustz (CRD# 4129813), of Stifel Nicolaus & Company. According to FINRA BrokerCheck, Adam Chustz of Stifel Nicolaus & Company is facing several customer complaints alleging $5,977,000 in collective investor damages. The investor complaints relate to mutual fund investment losses. KlaymanToskes is currently investigating brokers who unsuitably...
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November 9, 2025 | Broker / Advisor Investigation
Did You Invest With Broker Mario Payne of TOAMS Financial? Contact KlaymanToskes National investment loss lawyers KlaymanToskes is investigating broker Mario Payne of TOAMS Financial (CRD #5445757). According to FINRA BrokerCheck, Mario Payne of TOAMS Financial, and formerly of Raymond James, is facing six pending investor complaints alleging that he engaged in a high-risk, illiquid, and...
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November 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Matthew Koelliker (CRD# 5660722) of KKR Capital Markets and M360 Advisors. According to FINRA BrokerCheck, broker Matthew Koelliker is facing a pending customer complaint alleging $15,032,924 in damages due to a decrease in value of the customer’s limited partnership interest and subsequent failure to honor, in full,...
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November 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Weina Hou (CRD #5901613) formerly of Cetera Investment Services. Hou is currently registered as a broker and investment advisor with Ameriprise Financial Services. According to FINRA BrokerCheck, broker Weina Hou of Cetera Investment Services is facing an investor complaint, alleging unsuitable recommendations to invest in structured products,...
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October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Blake Scherr (CRD# 5043294) of Merrill Lynch. According to FINRA BrokerCheck, broker Blake Scherr of Merrill Lynch is facing a pending customer complaint alleging $1,000,000 in damages due to improper solicitation of an account. The complaint allegedly relates to Mutual Fund investments. Investors that suffered losses with...
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October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rikki Foster (CRD# 6075051) of Concorde Investment Services. According to FINRA BrokerCheck, Rikki Foster of Concorde Investment Services is facing a pending customer complaint alleging $700,000 in damages due to unsuitable recommendations to invest in DPP& LP Interest investments. The customer further alleges breach of fiduciary duty,...
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October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thaddeus Eubanks (CRD# 5888014) of Edward Jones. According to FINRA BrokerCheck, broker Thaddeus Eubanks is currently involved in a customer complaint alleging $2,500,000 in damages. The customer alleges use of margin to purchase additional shares, and recommendation to continue holding shares of a purported concentrated position in...
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October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Elizabeth Fitzwater (CRD# 2729767) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Elizabeth Fitzwater, 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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October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peter Black a/k/a Peter Eugene Black (CRD#1333774) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Peter Black, of UBS Financial Services Inc. is currently facing a customer complaint alleging $9,900,000 in damages. The complaint alleges that the customer only provided authorization to sell half of...
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October 26, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker Eduardo Mordujovich (CRD# 3066044) of Valmark Securities. According to FINRA BrokerCheck, broker Eduardo Mordujovich is involved in a customer complaint alleging $100,000,000 in investor damages. The complaint relates to allegations of breach of fiduciary duty and negligence, in addition to other securities violations. Investors that suffered...
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October 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nathan Goad (CRD# 5421740) of J. Alden Associates and Alden Investment Group. Goad was formerly registered as a broker with Cetera Investment Services. According to FINRA BrokerCheck, broker Nathan Goad is involved in several customer complaints alleging over $6,000,000 in collective investor damages. The complaints allege unsuitable...
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