Broker & Advisor Investigations
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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