May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sergio Rovner (CRD# 2884441) of Aegis Capital Corp. According to FINRA BrokerCheck, broker Sergio Rovner of Aegis Capital is currently involved in a customer complaint alleging $4,095,000 in damages. The complaint further alleges unsuitable recommendations to invest in private placement investments. Investors that suffered losses with broker...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Gilbert Kuta (CRD# 1084075) of Aegis Capital, and formerly of Capitol Securities Management. According to FINRA BrokerCheck, broker Gilbert Anthony Kuta has been involved in several customer complaints. The investor complaint allegations include excessive trading, unsuitable investment recommendations, and poor performance. Three recent complaints have been settled...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Troy Tremblay (CRD# 4625407) of Centaurus Financial Inc. According to FINRA BrokerCheck, broker Troy Tremblay of Centaurus Financial, Inc. is currently facing numerous customer complaints alleging $481,000 in collective investor damages. The complaints allege unsuitable recommendations to invest in high-risk and illiquid investments. Investors that suffered losses...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joanna Wang of LPL Enterprise, LLC and formerly of Pruco Securities (CRD# 4056171). According to FINRA BrokerCheck, Joanna Wang, a financial advisor with LPLEnterprise, and formerly with Pruco Securities is facing a pending customer complaint alleging $495,000 in investor damages due to unsuitable recommendations of non-traded REIT...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Larsen (CRD# 2700922) of Raymond James Financial Services. According to FINRA BrokerCheck, broker John Larsen of Raymond James Financial Services is facing an investor complaint alleging $3,000,000 in damages due to trades that were not in line with the customer’s risk tolerance. The customer further alleges...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes continues investigating broker Chris Polimeni (CRD# 1643121) of Western International Securities. According to FINRA BrokerCheck, broker Chris Polimeni is currently involved in a customer complaint alleging $1,600,000 in investor damages. The complaint alleges that the financial professional converted the customer’s assets by transferring them to a foundation. Investors that suffered...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker David Love (CRD# 4788074) formerly of LaSalle St. Securities. According to FINRA BrokerCheck, barred broker David Love is currently involved in a customer complaint alleging $850,000 in damages. The customer alleges that he sent funds to Love from his personal checking account, not connected to LaSalle....
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ronald Cappuccio (CRD# 5530949) of Quantum & Co. Strategic Advisors and Charles Schwab & Co. According to FINRA BrokerCheck, broker Ronald Cappuccio is currently involved in a customer complaint alleging $2,700,000 in damages. The complaint further alleges that the solicitation of accounts were improper by allegedly misrepresenting...
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May 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Craig McILroy (CRD# 1422508) of LPL Financial and formerly of Lincoln Financial Advisors. According to FINRA BrokerCheck, broker Craig McIlroy is currently involved in several customer complaints alleging unsuitable recommendations to invest in oil & gas investments and $150,000 in collective investor damages. Investors that suffered losses...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Muhammad Wahdy (CRD# 6266210) formerly of Merrill Lynch, Wells Fargo, Casey Securities and Ameriprise. According to FINRA BrokerCheck, Muhammad Wahdy, a former broker at Merrill Lynch, has been suspended by the Financial Industry Regulatory Authority (“FINRA”) for 15 months in connection with findings that he engaged in...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kyle Kim (CRD# 2446395), of KYO Asset Management and The Leaders Group. Kim was also previously registered with LPL Financial in Dulles, VA. According to FINRA BrokerCheck, broker Kyle Kim has been suspended by FINRA in connection with allegations of his participation in an OBA (Outside Business...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Curtis Wayne Smith (CRD# 1383235) formerly of United Planners’ Financial Services. According to FINRA BrokerCheck, broker Curtis Wayne Smith of United Planners’ Financial Services has been suspended. FINRA found that in 2024, Smith impersonated a customer on four telephone calls to an annuity provider in order to...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Piers Cornelius (CRD# 4212172) of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Piers Cornelius is currently involved in a J.P. Morgan Securities customer complaint alleging $103,700,000 in damages. The complaint allegedly relates to the recommendation of an unsuitable investment strategy involving common & preferred stock. Investors...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Timothy Hawkins (CRD# 5800637) of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Timothy Hawkins is currently involved in a J.P. Morgan Securities customer complaint alleging $103,700,000 in damages. The complaint allegedly relates to the recommendation of an unsuitable investment strategy involving common & preferred stock. Investors...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Hamid Derbani (CRD# 6899972) of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Hamid Derbani is currently involved in a J.P. Morgan Securities customer complaint alleging $103,700,000 in damages. The complaint allegedly relates to the recommendation of an unsuitable investment strategy involving common & preferred stock. Investors...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Loesch (CRD# 2380024) of NewEdge Securities. According to FINRA BrokerCheck, broker David Loesch is currently involved in a customer complaint alleging $179,000 in damages. The customer alleges that the use of margin to purchase municipal bonds was not explained and should have been discontinued when interest...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eoghan Shields (CRD# 7405619) of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Eoghan Shields is currently involved in a J.P. Morgan Securities customer complaint alleging $103,700,000 in damages. The complaint allegedly relates to the recommendation of an unsuitable investment strategy involving common & preferred stock. Investors...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Raphael Correa (CRD# 7453023) formerly of J.P. Morgan Securities. According to FINRA BrokerCheck, broker Raphael Correa is currently involved in a J.P. Morgan Securities customer complaint alleging $103,700,000 in damages. The complaint allegedly relates to the recommendation of an unsuitable investment strategy involving common & preferred stock....
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eve Huang a/k/a Chi Huang (CRD# 5387713) of Integral Financial. According to FINRA BrokerCheck, broker Eve Huang is currently involved in a customer complaint alleging $350,000 in damages. The complaint allegedly relates to a failure to return customer calls regarding the liquidation of notes and a perceived...
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May 9, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker William Clary (CRD# 2300201) of D.A. Davidson & Co. According to FINRA BrokerCheck, broker William Clary is currently involved in a customer complaint alleging $281,085 in damages. The complaint further alleges that the financial advisor violated duties through inaction to prevent potential financial exploitation. Investors that suffered...
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April 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Helen Rothlein (CRD# 709040) of Morgan Stanley. According to FINRA BrokerCheck, broker Helen Rothlein is currently involved in a customer complaint alleging $429,000 in damages. The complaint further alleges unsuitable investment recommendations related to Options trading. Investors that suffered losses with broker Helen Rothlein are encouraged to...
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April 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joseph Lauzon (CRD# 2773510) of LPL Financial. According to FINRA BrokerCheck, broker Joseph Lauzon of LPL Financial, is facing a pending customer complaint alleging $500,000 in damages. The complaint alleges that the advisor, who is the customer’s brother, fraudulently transferred funds from their father’s IRA account. Investors...
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April 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Paul Getty (CRD# 6470002) of Emerson Equity, and formerly of LightPath Capital. According to FINRA BrokerCheck, broker Paul Getty is involved in several customer complaints alleging over $500,000 in collective investor damages. The complaints reportedly relate to recommendations to invest in real estate securities, and include allegations...
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April 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Andrew Burish (CRD# 1111163) of UBS Financial Services Inc. According to FINRA BrokerCheck, broker Andrew Burish of UBS Financial Services Inc. has been involved in a customer complaint in which the customers have been awarded $95,300,257 in damages in connection with allegations of breach of fiduciary duty,...
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April 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ian Greenblatt (CRD# 2276966) of Capitol Securities Management. According to FINRA BrokerCheck, broker Ian Greenblatt is currently involved in a customer complaint alleging $150,000 in damages. The complaint further alleges excessive and high-risk trades in the customer’s account. Investors that suffered losses with broker Ian Greenblatt are...
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April 29, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Richard Kubiak of Ameriprise Financial Services (CRD# 2856073). According to FINRA BrokerCheck, broker Richard Kubiak of Ameriprise Financial is facing a pending investor complaint alleging $6,075,978 in damages. The customer alleges that they were recommended unsuitable investments, including insurance products and Illiquid real estate investments. Investors that...
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April 25, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Philip Riposo (CRD# 400056) of Riposo Asset Management and United Planners’ Financial Services, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his refusal to produce on-the-record testimony as requested by FINRA. Riposo is currently involved in...
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April 24, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Bob Chung (CRD# 6208569) a/k/a Unbo Chung of Arete Wealth Management and Center Street Securities. According to FINRA BrokerCheck, broker Bob Chung is being investigated by the U.S. Securities and Exchange Commission (“SEC”) for his recommendations and sales of Zona Energy, Inc. without receiving Arete’s approval, in...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jennifer Hwang Ceterko (CRD# 3091599) formerly of LPL Financial. According to FINRA BrokerCheck, broker Jennifer Hwang Ceterko has been terminated from LPL Financial after allegations that she accessed outside investment accounts using the login credentials of her former clients and participated in account activity in those outside...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michael Dugan (CRD# 2824966) of Spartan Capital Securities and Alexander Capital, L.P. According to FINRA BrokerCheck, broker Michael Dugan has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s findings that he recommended trades to retail customers that...
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