June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Carl Blanck (CRD# 5251950) of The Leaders Group, Inc., following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 24-02565), alleging investor damages of $100,000 due to unsuitable recommendations to invest in fixed index annuity investments. The law...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Kai Kahauanu (CRD# 4973274) of AE Wealth Management, following the law firm’s filing of a AAA arbitration claim (AAA# 24-0285-01940) alleging investor damages of $500,000 due to unsuitable recommendations and misrepresentations of structured note investments. According to the lawsuit filed by KlaymanToskes, the customer is a...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ken Ramos (CRD# 2553426) of Stifel, Nicolaus, & Co. in connection with the law firm’s filing of a customer complaint (Claim no. 23-02648) with the Financial Industry Regulatory Authority (“FINRA”), alleging $1,300,000 in damages due to unsuitable investment recommendations in structured products, Unit Investment Trusts, Crypto, and...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bruce Beetz (CRD# 1527269) of Emerson Equity, following the law firm’s 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 L Bonds. According to FINRA...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jim Geake (CRD# 2629008) of Madison Avenue Securities after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging investor damages due to unsuitable recommendations to invest in alternative investments, primarily in NorthStar Healthcare REIT. The statement of claim allegedly states that $1.1 million...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker John Palma (CRD# 6848651) of Spartan Capital Securities. Palma has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), after findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from...
Read More
June 9, 2025 | Broker / Advisor Investigation
Did You Invest With William Duffy of WD Wealth Strategies? National investment loss lawyers KlaymanToskes is investigating broker William Duffy (CRD# 6726333) of WD Wealth Strategies, Duffy Financial, and Emerson Equity after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging investor damages due to unsuitable investment recommendations. KlaymanToskes is currently representing...
Read More
June 9, 2025 | Broker / Advisor Investigation
National securities arbitration law firm KlaymanToskes is continuing its investigation of broker Antoine Nabih Souma (CRD# 4210987), who has been permanently barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”). Souma’s bar by FINRA follows allegations of misconduct, including private securities transactions, excessive trading, margin abuse, and unauthorized trading. Antoine Souma has...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Greg Wilson (CRD# 6849983) of David Ortiz Advisors, Inc. and Ortiz World Wealth, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00214), alleging investor damages of $250,000 due to unsuitable recommendations to invest in unsuitable PetroRock...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Whitaker (CRD# 6316100) formerly of Newbridge Securities, after the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging significant investor damages due to unsuitable recommendations to invest in GWG L Bond investments. According to FINRA BrokerCheck, broker Michael Whitaker, formerly of...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Ginsberg (CRD# 5177531) of LPL Financial, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00398), alleging investor damages between $500,000 and $1,000,000 due to unsuitable recommendations to invest in illiquid alternative investments. Investors that suffered losses...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Scott Jackson (CRD# 4443921) of J.W. Cole Financial, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging up to $500,000 in investor damages due to unsuitable recommendations of alternative investments. The complaint relates to investments in the following real...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Stephen Marotto (CRD# 5473140) of First Republic Securities and Morgan Stanley, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-00400), alleging investor damages of $200,000 due to unsuitable recommendations to invest in unsuitable Greenbacker Fund investments. According...
Read More
June 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Timothy Tremblay (CRD# 1201542) of Centaurus Financial, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging $100,000 in investor damages due to unsuitable recommendations of Creative Media & Community Trust (NASDAQ: CMCT) Preferred investments. According to FINRA BrokerCheck, broker...
Read More
June 7, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker James Burton, 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 continues investigating broker James Burton (CRD# 5051310) of Farmers Financial Solutions, following the law firm’s representation...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Jeffrey Noard, 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 Jeffrey Noard (CRD# 1983392) of Emerson Equity and Cabot Lodge...
Read More
June 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker/investment advisor Austin Dutton (CRD# 2739167) after the law firm’s filing of several customer complaints (Case no. 24-01562, Case no. 24-00326) on behalf of clients who were recommended to invest in unsuitable and illiquid investments at American Trust Investment Services and Newbridge Securities. KlaymanToskes is currently representing...
Read More
June 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Andrew Dutton (CRD# 6869349) of American Trust Investment Services, Chicago Capital Management Advisors, and Peak Brokerage Services, after the law firm’s filing of a customer complaint (Case No. 25-00079) seeking to recover $100,000 in damages on behalf of an investor who was recommended to invest in GWG L...
Read More
June 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jimmy Driggers (CRD# 1359593) after two customer complaints alleging over $4,000,000 in collective damages were filed with the Financial Industry Regulatory Authority (“FINRA”). One claim alleges that Driggers made unsuitable Alternative Investment recommendations, while the other alleges that Driggers used funds from Liquidity Asset Lines set up...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Mark Creason, 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 Mark Creason (CRD# 6617847) of Emerson Equity, following the law firm’s filing of a...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Todd Lesk, 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 Todd Lesk (CRD# 2788300) of LPL Financial and Cambridge Investment Research, who has...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Angelo Talebi, 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 Angelo Talebi of Beverly Hills Financial Planners (CRD# 2243829), following the filing of...
Read More
June 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Daniel Beech of Western International (CRD# 6169844), following the filing of 20 customer complaints alleging over $2 million in collective investor damages against the Westlake Village, California-based broker in connection with the unsuitable sale of alternative and illiquid investments. KlaymanToskes previously reported that the firm filed a...
Read More
June 6, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Brittani Schaefer a/k/a Brittani Corren Cooper (CRD# 6327801) of Arete Wealth Management, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 24-01937), alleging investor damages of $100,000 due to unsuitable recommendations to invest in GWG L Bonds. In...
Read More
June 6, 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 following the filing of 59 customer complaints with the Financial Industry Regulatory Authority (“FINRA”). Barouti’s customers are seeking over $5 million in collective damages...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Justin Funakura, 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 continues investigating broker Justin Funakura (CRD# 5718194) of Farmers Financial Solutions, who has been suspended by...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Richard Wesselt , 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 Richard Wesselt (CRD# 2195569) of Wesselt Capital Group, Fortune...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of Gilbert Russell Conrad, 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 continues investigating broker Russ Conrad a/k/a Gilbert Russell Conrad (CRD# 2746778) following...
Read More
June 6, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of William King of Merrill Lynch, 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 William (Bill) King of Merrill Lynch (CRD# 1432593), a leading broker of Merrill Lynch’s King...
Read More
June 4, 2025 | Broker / Advisor Investigation
If you suffered losses in Lightstone Value Plus REIT due to recommendations by your broker/financial advisor, 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 brokerage firms and financial advisors who unsuitably recommended investments in...
Read More
