October 26, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Gitterman (CRD# 1910332) of Gitterman Wealth Management and Vanderbilt Securities following the filing of 8 customer complaints against the New-Jersey-based broker/investment advisor for unsuitable Alternative Investment recommendations. According to FINRA BrokerCheck, Jeffrey Lewis Gitterman is currently registered as a broker/investment advisor with Vanderbilt Securities, and is...
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October 26, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Stewart Ginn (CRD# 4503197) of Independent Financial Group, who has been hit with a regulatory disclosure by the Financial Industry Regulatory Authority (“FINRA”), following his violation of FINRA rules by allegedly engaging in churning and excessively trading customer accounts while generating more than $2.24 million in commissions...
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October 26, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Rene Castro (CRD# 2559410) of Center Street Securities and Great Point Capital following the filing of three pending customer complaints against the Chicago-Illinois-based broker/investment advisor for unsuitable investment recommendations. According to FINRA BrokerCheck, Rene Javier Castro is currently registered as broker/investment advisor with Great Point Capital in...
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October 25, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Vance of Moloney Securities (CRD# 1887560), following the filing of 11 customer complaints alleging over $1 million in collective investor damages against the Sonora, California-based broker/advisor in connection with unsuitable and negligent investment recommendations. KlaymanToskes recently reported that the firm has filed a FINRA arbitration claim...
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October 25, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peter Clarke (CRD# 1400419) after a customer complaint seeking $6,300,000 was filed following his 9 month employment with Truist Investment Services. The Financial Industry Regulatory Authority’s (“FINRA”) records reveal that the complaint alleges the recommendation of common and preferred stock was too risky, resulting in the damages....
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October 25, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eric Kuchherzki (CRD# 2529623) of Centaurus Financial following the filing of five customer complaints against the broker with the Financial Industry Regulatory Authority (“FINRA”). Kuchherzki’s customers allege unsuitable, high-risk, speculative, and illiquid investment recommendations. According to FINRA BrokerCheck, Eric Gustav Kuchherzki is currently registered with Centaurus Financial...
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October 25, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Nathan Wells (CRD# 5553359) of Wells Financial Services and Voya Financial Advisors after two customer complaints collectively seeking $200,000 were filed with the Financial Industry Regulatory Authority (“FINRA”) earlier this year. Both claims allege that Wells failed to disclose the risks and illiquid nature of real estate...
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October 25, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating investment advisor Brandon Hanna (CRD# 6758707) after a customer complaint seeking $10,000,000 was filed during his employment with Creative Planning in Overland Park, KS. The Financial Industry Regulatory Authority’s (“FINRA”) records reveal that the complaint alleges elder abuse and that the recommendation of options investments were negligent and...
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October 17, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Luke Johnson (CRD# 3257008) of Legend Capital Group and Coastal Equities, Inc., who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his unsuitable investment recommendations for his customers to purchase more than $2.35 million in illiquid alternative investments. ...
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October 17, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Jose Candelario a/k/a Jose Manuel Candelario Padilla (CRD# 4847560) following the firm’s filing of $14 million in FINRA arbitration claims against Nationwide Planning Associates, on the behalf of customers who suffered losses due to unsuitable investment recommendations. According to FINRA BrokerCheck, Jose Candelario has been hit with...
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October 13, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Chay Lapin (CRD# 2932631), of FNEX Capital following the filing of 7 customer complaints alleging investor damages against the Indianapolis, Indiana-based broker in connection with the unsuitable sale of alternative and illiquid investments in NP Skyloft DST. Nelson Partners Skyloft (NP Skyloft DST) is an illiquid real...
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September 29, 2023 | Broker / Advisor Investigation
National investment fraud lawyers KlaymanToskes is investigating broker Ron Filoramo of Morgan Stanley (CRD# 3270398), who has been charged by the SEC for the fraudulent theft of $761,000 from his Morgan Stanley customers. Filoramo was also permanently barred from acting as a broker or associating with a broker-dealer firm by the Financial Industry Regulatory Authority...
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August 11, 2023 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peter Po (CRD# 3106974) of Ni Advisors, who is currently facing seven pending customer complaints which allege over $1.7 million in collective damages due to unsuitable GWG L Bond investment recommendations. According to FINRA BrokerCheck, Peter Tinchu Po has 12 public disclosures, 11 of which are customer...
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