June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Manuel Melendez Gonzalez (CRD# 4648278) formerly of UBS Financial Services Inc and Herbert J. Sims & Co. Inc. According to FINRA BrokerCheck, broker Manuel Melendez Gonzalez, formerly of UBS Financial Services Inc. has been permanently barred from acting as a broker by FINRA. Melendez consented to...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Edward Barfield (CRD# 4257082) formerly of Cetera Advisor Networks and Geneos Wealth Management. Barfield is currently registered as a broker with Kovack Securities. According to FINRA BrokerCheck, broker Edward Barfield has been involved in several customer complaints. One of the customer complaints filed alleged $292,000 in damages...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Todd Leighty (CRD# 4409118) of Northwestern Mutual Investment Services. According to FINRA BrokerCheck, broker Todd Leighty of Northwestern Mutual Investment Services has been suspended by FINRA in connection with findings that that he recommended purchases of variable annuities to three customers without a reasonable basis to believe...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Chris Dibari a/k/a Christopher Mark Dibari (CRD# 3012315) of PNC Investments. According to FINRA BrokerCheck, broker Chris Dibari of PNC Investments is involved in a customer complaint alleging $384,779 in investor damages due to recommendations to invest in unsuitable variable annuity investments. The customer further alleges the...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Stephen Swensen (CRD# 2885578) of Wealth Navigation Advisors, Inc. and J.W. Cole Financial, Inc. According to the Securities and Exchange Commission’s AdviserInfo, financial advisor Stephen Swensen of Wealth Navigation Advisors and J.W. Cole Advisors has been involved in several customer complaints which alleged millions of dollars...
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June 17, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Minter of Lifemark Securities (CRD# 2989575). According to FINRA BrokerCheck, broker Michael Minter of Lifemark Securities is facing a pending customer complaint alleging $300,000 in damages due unsuitable recommendations to invest in alternative investments. The allegations also include breach of contract, breach of fiduciary duty, negligence,...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Reza Zafari of Merrill Lynch (CRD# 1332633). According to FINRA BrokerCheck, broker Reza Zafari 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 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Parviz Pourfarid (CRD# 2112613) of Western International Securities. According to FINRA BrokerCheck, broker Parviz Pourfarid is involved in a customer complaint alleging $160,000 in damages due to an investment recommendation that was unsuitable and misleading. Investors that suffered losses with broker Parviz Pourfarid are encouraged to contact...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sam Su a/k/a Minh Su (CRD# 4232029) formerly of UBS Financial Services Inc and Morgan Stanley. Su is currently registered as a broker with Ameriprise Financial Services in San Francisco, CA. According to FINRA BrokerCheck, broker Sam Te Su a/k/a Minh Su, formerly of UBS Financial Services...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Justin Cappadona of Raymond James & Associates (CRD# 2775857). According to FINRA BrokerCheck, broker Justin Cappadona of Raymond James & Associates has been involved in a customer complaint alleging failure to follow the customer’s instructions to liquidate their account. Although this dispute was denied, it is important...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Arnold Beatty McDonald (CRD# 5126644) of McDonald Partners. According to FINRA BrokerCheck, broker Arnold Beatty McDonald of McDonald Partners is involved in a customer dispute which alleges $425,900 in investor damages due to unsuitable recommendations to invest in private placement investments. Investors that suffered losses with broker...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Steven Tann (CRD# 1589757) formerly of J.P. Morgan Securities. Tann is currently registered as a broker with Wells Fargo Clearing Services, and as an investment advisor with Wells Fargo Advisors. According to FINRA BrokerCheck, broker Steven Tann is currently involved in a J.P. Morgan Securities customer complaint...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Stephen Parks (CRD# 5074732) of Skystone Securities. According to FINRA BrokerCheck, broker Stephen Parks of Skystone Securities is involved in a customer dispute which alleges $5,000,000 in investor damages due to unsuitable recommendations to invest in two speculative, alternative investments. The complaint allegedly relates to private placement...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Mateyko (CRD# 1228497) of Peachcap Securities Inc, and formerly of World Equity Group. According to FINRA BrokerCheck, broker John Mateyko of Peachcap Securities Inc. has been involved in several customer disputes which alleged investment losses due to unsuitable investment recommendations and other securities violations. FINRA BrokerCheck...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brian Court (CRD# 2591547) formerly of Aegis Capital Corp. According to FINRA BrokerCheck, broker Brian Court, formerly of Aegis Capital, has been suspended by the Financial Industry Regulatory Authority (“FINRA”) due to findings that he exercised discretion without written authorization in connection with trades in 10 customers’...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Vince Nelson a/k/a Walter Vincent Nelson (CRD# 2275929) formerly of Arete Wealth Management. According to FINRA BrokerCheck, broker Vince Nelson a/k/a Walter Vincent Nelson has resigned from Arete Wealth Management, following allegations that the firm was actively investigating the Representative for potential violations of securities rules and...
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June 16, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Mark Katz (CRD# 3055019) formerly of Western International Securities and Hilltop Securities. Katz is currently registered as a broker with Aegis Capital Corp. According to FINRA BrokerCheck, broker Mark Katz has been involved in several customer complaints which alleged unsuitable investment recommendations and unauthorized trading. A recent...
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June 13, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Roberts (CRD# 4700058) of The Strategic Financial Alliance Inc., and formerly of Triad Advisors and Coastal Equities. According to FINRA BrokerCheck, broker Michael Roberts a/k/a Michael David Roberts of The Strategic Financial Alliance is involved in a customer complaint alleging $2,235,000 in damages. The customers further...
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June 13, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Jade Eagles (CRD# 5939276) of WealthGarden Financial Services. According to the Securities and Exchange Commission’s AdviserInfo, Jade Eagles of The WealthGarden Financial Services is facing a pending customer complaint alleging $1,032,000 in investor damages. The customers allege fraud, deceit, misrepresentation, omission of material fact, breach of...
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June 13, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Perirano (CRD# 2900045) of Morgan Stanley. According to FINRA BrokerCheck, broker John Perirano of Morgan Stanley is currently involved in a customer complaint alleging $2,023,505 in damages due to unsuitable recommendations to open Liquidity Asset Lines. Investors that suffered losses with broker John Perirano are encouraged...
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June 13, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Roy Grassey Jr. (CRD# 1249689) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Roy Grassey Jr. a/k/a Richard Roy Grassey Jr., of UBS Financial Services Inc. is currently facing a pending customer complaint alleging $3,500,000 in damages and that UBS failed to do adequate due...
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June 13, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Amy Brandts (CRD# 1228497) of Cambridge Investment Research, Inc. According to FINRA BrokerCheck, broker Amy Brandts of Cambridge Investment Research, Inc. has been involved in several customer disputes which alleged investment losses due to actions of an outside, unknown third party, as a result of a cyber...
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June 13, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Leo Chien a/k/a Leo Li-Yuan Chien (CRD# 4169619), formerly of Cetera Investment Services. According to FINRA BrokerCheck, broker Leo Chien formerly of Cetera Investment Services, is facing several customer complaints seeking over $1,000,000 in collective damages. One of the complaints alleges unsuitable recommendations to invest in a...
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June 11, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former UBS Financial Services broker and branch manager Nicolas Barrios (CRD # 2122824) after he was barred from the securities industry for refusing to cooperate with a FINRA investigation. According to FINRA’s Letter of Acceptance, Waiver and Consent (No. 2019061655701), as of June 2019, Barrios was barred from associating with any...
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June 9, 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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June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joseph Cason (CRD# 2455720) of Osaic Wealth, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00796), alleging investor damages of $150,000 due to unsuitable recommendations to invest in Creative Media & Community Trust (NASDAQ: CMCT) investments. Investors that suffered losses with broker...
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June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Joseph Michael Todd (CRD# 1830390) formerly of Centaurus Financial. According to FINRA BrokerCheck, Joseph Michael Todd, formerly of Centaurus Financial, is currently facing several pending customer complaints alleging unsuitable and illiquid investment recommendations. The complaints seek $522,000 in collective investor damages. Todd has been permanently barred...
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June 9, 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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June 9, 2025 | Broker / Advisor Investigation
Investment Losses with Barred Financial Advisor David Geake? Contact KlaymanToskes Immediately National investment loss lawyers KlaymanToskes is investigating barred broker David Geake (CRD# 3088891), of American Trust Investment Services, Inc. and Ausdal Financial Partners. 51 customer complaints have been filed alleging over $7 million in collective investor damages against the Chicago, Illinois-based broker in connection...
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June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Karin (CRD# 2486154) of Western International Securities, after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”). Broker David Karin is currently registered with Western International Securities in Westlake Village, CA. The multiple customer complaints filed allege $290,000 in collective investor damages due...
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