April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Karen Briggs (CRD# 1100275) formerly of LPL Financial. According to FINRA BrokerCheck, broker Karen Briggs of LPL Financial is facing a pending customer complaint alleging $259,000 in damages due to unsuitable recommendations to invest in Real Estate Investment Trust (REIT), Insurance, and Equity-Indexed Annuity investments. Investors that...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Randolph Hinton (CRD# 1539210) formerly of United Planners’ Financial Services. According to FINRA BrokerCheck, broker Randolph Hinton of United Planners’ Financial Services is involved in a customer complaint alleging $245,000 in damages due to unsuitable investment recommendations in alternative investments. The complaint also alleges breach of fiduciary...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Fred Hilton (CRD# 2161935) of LPL Financial, and formerly of CUNA Brokerage Services. According to FINRA BrokerCheck, broker Fred Hilton of LPL Financial, and formerly of CUNA Brokerage Services, is facing a pending customer complaint alleging $500,000 in damages due to investment recommendations in Mutual Fund investments...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Joel Woods (CRD# 1470780) of LPL Financial and Concorde Investment Services. According to FINRA BrokerCheck, Joel Woods of LPL Financial and Concorde Investment Services is facing a pending customer complaint alleging $750,000 in damages due to unsuitable recommendations to invest in Real Estate Investment Trust (REIT) investments. ...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker John Winslow (CRD# 3071933) of Edward Jones. According to FINRA BrokerCheck, broker John Winslow has been permanently barred from acting as a broker by FINRA, and as an investment advisor by the SEC, in response to the regulator’s investigation into his involvement in defrauding a retired...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Lemak (CRD# 845891) of Axiom Capital Management, Sandor Advisors, JSL Financial. According to FINRA BrokerCheck, broker John Lemak of Axiom Capital, Sandor Advisors, and JSL Financial is currently facing a pending customer complaint alleging $475,000 in investor damages. The complaint alleges breach of fiduciary duty, violations...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Boral (CRD# 5340753) of D. Boral Capital and EF Hutton. According to FINRA BrokerCheck, broker David Boral of D. Boral Capital is currently facing a pending customer complaint alleging $1,000,000 in investor damages. The complaint alleges that the customer is seeking return of funds for an...
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April 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Victoria Bogner (CRD# 5048328) formerly of Cetera Advisors Network. Bogner is currently registered with AW Securities in Lawrence, KS. According to FINRA BrokerCheck, broker Victoria Bogner of Cetera Advisors, and AW Securities, is facing a pending customer complaint seeking $210,000 in damages. The complaint alleges unsuitable recommendations...
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April 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Peace Murans a/k/a Paul William Murans (CRD# 3266607) formerly of UBS Financial Services Inc. Murans is currently associated with Thurston Springer Financial. According to FINRA BrokerCheck, broker Peace Murans of UBS Financial Services Inc. and Thurston Springer Financial is currently facing a pending customer complaint alleging damages...
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April 4, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker Joseph Cannon (CRD# 6341199) of Northwestern Mutual Investment Services. According to FINRA BrokerCheck, financial advisor Joseph Cannon, formerly of Northwestern Mutual Investment Services, is involved in a customer complaint alleging $2,360,400 in investor damages due to multiple unauthorized transfers from the customers’ accounts. Cannon has been...
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March 25, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Derek Copeland (CRD# 4347572) of LPL Financial and Independent Advisor Alliance. According to a settlement finalized by the Financial Industry Regulatory Authority (FINRA) on March 25, 2025, Copeland was permanently barred from the securities industry after soliciting $11 million from 27 investors—22 of whom were his customers—for...
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March 25, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Francesco Traina, formerly of Wells Fargo Clearing Services (CRD# 5025477). Traina is currently registered with Raymond James Financial Services in Miami, FL. According to FINRA BrokerCheck, broker Francesco Traina of Wells Fargo Clearing Services is facing a pending investor dispute alleging $20,000,000 in damages, based on allegations...
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March 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Chaney (CRD# 44529) of Moloney Securities, following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging $125,000 in investor damages due to unsuitable recommendations of alternative investments. The complaint relates to investments in the GWG L Bonds, and Priority...
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March 19, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mark Grueninger of UBS Financial Services (CRD #3031348). According to FINRA BrokerCheck, Mark Grueninger of UBS Financial Services is currently facing an investor complaint filed in July 2024 alleging that he allowed the customers’ accountant to exceed the scope of his Power of Attorney, resulting in losses...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Zeshan Panjwani (CRD# 6174339) of Newbridge Securities. According to FINRA BrokerCheck, broker Zeshan Panjwani is currently involved in a customer complaint alleging unsuitable recommendations to invest in GWG L Bonds and $85,000 in investor damages. In April 2022, GWG Holdings, Inc. filed for bankruptcy, suspending their monthly...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Karl Chen a/k/a Feng Kou Chen (CRD# 6424082), formerly of LPL Financial and Waddell & Reed. According to FINRA BrokerCheck, broker Karl Chen, formerly of LPL Financial and Waddell & Reed, has been suspended by FINRA in connection with allegations of findings that he falsified information on...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Otto Bohon a/k/a Otto Ramon Bohon Jr. (CRD# 5677597) of Centaurus Financial Inc. According to FINRA BrokerCheck, broker Otto Bohon of Centaurus Financial, Inc. is currently facing multiple pending customer complaints alleging more than $100,000 in collective investor damages. The complaints allege recommendations to invest in high-risk...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Sanjay Mathur of RBC Capital Markets, and formerly of Wells Fargo Clearing Services (CRD# 1144243). According to FINRA BrokerCheck, broker Sanjay Mathur of RBC Capital Markets, and formerly of Wells Fargo Clearing Services has been involved in a number of customer complaints alleging unsuitable investment recommendations. Although...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Richard Perlongo (CRD# 4913481) of Spartan Capital Securities. According to FINRA BrokerCheck, Richard Perlongo has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s findings that he recommended excessive and unsuitable trades that were not in his customer’s...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Tim Farris a/k/a Timothy Richard Farris (CRD# 2178521) of Cetera Advisors, and formerly of Sigma Financial Corporation. According to FINRA BrokerCheck, Tim Farris a/k/a Timothy Richard Farris of Cetera Advisors, and formerly of Sigma Financial, is facing several pending customer complaints seeking $240,649 in collective alleged damages....
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Victoria Pazzalia (CRD# 5920806) formerly of Purshe Kaplan Sterling Investments (PKS Investments).Pazzalia is currently associated with Madison Avenue Securities in Vienna, VA. According to FINRA BrokerCheck, broker Victoria Pazzalia is currently facing an investor complaint alleging $157,747 in damages due to unsuitable investment recommendations in NP Skyloft...
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March 14, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Matthew Turner (CRD# 4114088), of Westpark Capital. According to FINRA BrokerCheck, broker Matthew Turner of Westpark Capital has been suspended by FINRA in connection with allegations of trading in customer accounts, including those of seniors, that was excessive, unsuitable and not in the best interest of the...
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March 11, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jonathan Best a/k/a John Earl Best (CRD# 2225091), formerly of Raymond James Financial Services. According to FINRA BrokerCheck, broker Jonathan Best formerly of Raymond James Financial Services has been suspended by FINRA in connection with allegations of unauthorized trading in a customer account and submitting two false...
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March 11, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Javier Martin-Riva (CRD# 6706706) of Bulltick, LLC, and Bulltick Wealth Management. According to FINRA BrokerCheck, broker Javier Martin-Riva of Bulltick, LLC, and Bulltick Wealth Management is currently facing a pending customer complaint alleging $20,000,000 in investor damages due to investments in a private special purpose vehicle that...
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March 11, 2025 | Broker / Advisor Investigation
Did You Invest With Broker Mario Payne of TOAMS Financial? National investment loss lawyers KlaymanToskes is investigating broker Mario Payne of TOAMS Financial (CRD #5445757). According to FINRA BrokerCheck, Mario Payne of TOAMS Financial, and formerly of Raymond James, is facing five pending investor complaints alleging that he engaged in a high-risk, illiquid, and unsuitable investment...
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March 11, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Mike Chauvenet a/k/a Michael Lee Chauvenet (CRD# 1229930) of Centaurus Financial Inc. According to FINRA BrokerCheck, broker Mike Chauvenet of Centaurus Financial, Inc. is currently facing a pending customer complaint alleging $1,500,000 in investor damages. The complaint alleges unsuitable investment recommendations and involves illiquid real estate investments....
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March 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Michelle Stebbins (CRD# 4156378) of Stifel, Nicolaus & Co., Inc. after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $1,367,693 in collective investor damages due to failure to supervise. According to FINRA BrokerCheck, broker Michelle Stebbins is currently registered with Stifel, Nicolaus...
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March 10, 2025 | Broker / Advisor Investigation
Investigating potential claims for investors who suffered losses with broker James Paige National investment loss lawyers KlaymanToskes is investigating broker James Paige (CRD# 1726609) of Wells Fargo Advisors and Wells Fargo Clearing Services after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging up to $13,000,000 in collective investor damages due...
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March 9, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker nabil bouab, 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 Nabil (Bilo) Bouab (CRD# 4340284) of American Portfolios, who is currently facing customer complaints...
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February 27, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kyle Manning (CRD# 2782014) formerly of Spartan Capital Securities. According to FINRA BrokerCheck, Kyle Manning has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s findings that he recommended excessive and unsuitable trades that were not in his...
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