February 25, 2025 | Broker / Advisor Investigation
Who is Victor Torres? Broker Victor Torres is a financial advisor with Equitable Advisors in Fort Lauderdale, specializing in variable insurance-related securities. He has faced multiple customer complaints concerning variable life insurance policies marketed as tax shields. If you have investment losses due the actions of broker Victor Torres, contact the investment loss attorneys KlaymanToskes by calling +1...
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February 25, 2025 | Broker / Advisor Investigation
Who is John Openshaw? Broker John Openshaw is a financial professional with a career that began in 1993. He has been associated with KCD Financial, and in 2024, a customer filed a complaint alleging unsuitable recommendations of Real Estate Investment Trusts (REITs). If you have investment losses due the actions of broker John Openshaw, contact...
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February 25, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating former broker Gustavo Dolfino (CRD# 2565725) previously associated with Silver Leaf Partners. The Securities and Exchange Commission (SEC) has permanently barred Gustavo Dolfino for his involvement in alleged fraudulent activities related to the sale of investments in Student Global, LLC, an ed-tech startup. As the founder and CEO...
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February 25, 2025 | Broker / Advisor Investigation
Who is Jason Doneth? Broker Jason Doneth (CRD #4696330) of Ameriprise Financial Services, LLC has over 20 years of experience in the securities industry. He has been sued for allegedly advising an elderly client to switch to an annuity that may not have been in her best interest. He also faces a pending complaint related to unsuitable...
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February 24, 2025 | Broker / Advisor Investigation
Who is Carlos Garcia? Broker Carlos Garcia is a financial advisor with Kovack Securities. The firm has faced regulatory scrutiny and according to FINRA BrokerCheck, he is currently facing a pending customer complaint. If you have investment losses due the actions of Carlos Garcia, contact the investment loss attorneys KlaymanToskes by calling +1 (888) 997-9956 or request...
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February 24, 2025 | Broker / Advisor Investigation
Who is Robert Restino? Broker Robert Restino is a financial advisor with over 30 years of experience . He has been associated with Lincoln Investment under Pinnacle Financial Advisors. In October 2024, a customer filed a pending complaint alleging misrepresentation of investment risk. If you have investment losses due the actions of Robert Restino, contact the...
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February 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker David Dunn (CRD# 2819556) of Raymond James & Associates, and formerly of Oppenheimer & Co. According to FINRA BrokerCheck, broker David Dunn is currently involved in a customer complaint alleging $8,800,000 in investor damages due to financial elder abuse, unauthorized and unsuitable stock sales, and failure to...
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February 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Eric Felsenfeld (CRD# 4496689) formerly of Kingswood Capital Partners, and currently registered with Ameriprise Financial Services. According to FINRA BrokerCheck, broker Eric Felsenfeld of Kingswood Capital Partners, and Ameriprise Financial Services, is currently facing several customer complaints alleging $141,400 in collective damages due to being recommended to...
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February 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Donald Peabody (CRD# 2175218) of Osaic Wealth, Inc, and formerly of Umpqua Investments. According to FINRA BrokerCheck, Donald Peabody of Osaic Wealth, Inc. is currently facing a pending customer complaint alleging $500,000 in investor damages due to unsuitable recommendations to invest in a real estate investment. Investors...
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February 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Edward Kasperavich (CRD# 4970038) of Stonecrest Capital Markets and Stonecrest Advisors. According to FINRA BrokerCheck, broker Edward Kasperavich is currently involved in several customer complaints alleging unsuitable recommendations to invest in GWG L Bonds and $690,000 in collective investor damages. In April 2022, GWG Holdings, Inc. filed...
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February 18, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Mickelson (CRD# 2628700) of Wealth Advocates, CreativeOne Securities and Cambridge Investment Research. According to FINRA BrokerCheck, broker John Mickelson of Wealth Advocates and CreativeOne Securities, is facing a pending customer complaint alleging he recommended speculative alternative investments in oil and gas for the purpose of generating...
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February 14, 2025 | Broker / Advisor Investigation
If you invested with Gregory Whelan of Merrill Lynch and have concerns about your investments, contact the investment loss attorneys at KlaymanToskes today at +1 (888) 997-9956 or request a free case evaluation to explore your legal options. KlaymanToskes, a nationally recognized securities law firm, is investigating potential claims on behalf of investors who worked with broker Gregory Whelan...
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February 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Dave Lorber of Newbridge Securities (CRD# 2313582). According to FINRA BrokerCheck, Dave Lorber, a former broker at Newbridge Securities Corporation, is currently involved in a customer complaint alleging $90,000 in investor damages due to breach of fiduciary duty, negligence, and negligent supervision. Investors that suffered losses with...
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February 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker David Menashe (CRD# 5727269) of Benchmark Investments and Allied Millennial Partners. According to FINRA BrokerCheck, David Menashe, a former broker at Benchmark Investments and Allied Millennial Partners is facing a customer complaint alleging $783,000 in damages due to churning, fraud, unauthorized trading, and other alleged violations...
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February 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating barred broker John Sommo (CRD# 3141638) of UBS Financial Services Inc. According to FINRA BrokerCheck, John Sommo, formerly of UBS Financial Services Inc. is currently facing a pending customer complaint alleging unsuitable and speculative investment recommendations, including master limited partnerships in the energy sector. The complaint further alleges...
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February 10, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Jeffrey Furniss (CRD# 4888498) of LPL Financial. According to FINRA BrokerCheck, Jeffrey Furniss of LPL Financial is facing several pending customer complaints alleging $275,000 in collective damages due to unsuitable investment recommendations in oil & gas investments. Investors that suffered losses with broker Jeffrey Furniss are encouraged...
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February 8, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Christopher Arnella of Morgan Stanley (CRD #4886531). According to FINRA BrokerCheck, broker Christopher Arnella of Morgan Stanley was involved in a customer-initiated complaint that settled in favor of the investor for $2,500,000 based on allegations of unsuitable investment recommendations. Arnella has been suspended by the Financial Industry...
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February 8, 2025 | Broker / Advisor Investigation
Who is Mark Boucher? Broker Mark Boucher (CRD #2187695) is a former financial advisor who was charged with misappropriating over 2 million from clients. In 2020, the SEC filed charges against him, and in 2022, a federal court found him liable. He was banned from working as a broker by FINRA in December 2022. National...
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February 7, 2025 | Broker / Advisor Investigation
If you have investment losses due the actions of broker Shaun Orcinolo, contact the investment loss attorneys KlaymanToskes by calling +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 Shaun Orcinolo of Morgan Stanley (CRD #2433357). According to FINRA BrokerCheck, Shaun...
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February 1, 2025 | Broker / Advisor Investigation
Did You Suffer Investment Losses with Broker Amy Furuno of Lucid Capital Markets/Ladenburg Thalmann? Contact KlaymanToskes Immediately National investment loss lawyers KlaymanToskes is investigating broker Amy Furuno of Lucid Capital Markets, and formerly of Ladenburg Thalmann & Company (CRD #3108378). According to FINRA BrokerCheck, Amy Furuno of Lucid Capital Markets, and formerly of Ladenburg Thalmann...
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Lino Gutierrez (CRD# 5527598) of Merrill Lynch. According to FINRA BrokerCheck records, Lino Gutierrez of Merrill Lynch is facing a pending customer complaint alleging $1,000,000 in investor damages due to failure to act in the customer’s best interest. Gutierrez is also involved in a regulatory action (FINRA...
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker John Doiron (CRD# 5305305) of Cabot Lodge Securities, following the filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) alleging investor damages of $150,000 due to unsuitable recommendations to invest in GWG L Bonds. In April 2022, GWG Holdings, Inc. filed for bankruptcy, suspending...
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Judith Dolle (CRD# 826135) of LPL Financial. According to FINRA BrokerCheck, Judith Dolle of LPL Financial is facing a pending customer complaint alleging $750,000 in damages due to unsuitable investment recommendations in a Non-Traded Real Estate Investment Trust (REIT). Dolle is also involved in a second pending...
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Ellen Harless (CRD# 1200727), formerly of Stifel Nicolaus & Company and Merrill Lynch. According to FINRA BrokerCheck, Ellen Harless of Stifel Nicolaus & Company is facing a pending customer complaint alleging $750,000 in investor damages due to breach of fiduciary duty, civil conspiracy, negligence and unjust enrichment....
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Robert Leslie (CRD# 2755940) of Osaic Institutions and formerly of Essex National Securities. According to FINRA BrokerCheck, Robert Leslie of Osaic Institutions, Inc. is currently facing a pending customer complaint alleging $250,000 in investor damages due to failure to properly allocate and diversify the customer’s portfolio. The...
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Byron Freeman (CRD# 2490710) of Global Financial Private Capital, Inc. and J.W. Cole Advisors, Inc. According to the Securities and Exchange Commission’s AdviserInfo, Byron Freeman of Global Financial Private Capital and J.W. Cole Advisors is facing several pending customer complaints alleging over $7,000,000 in collective investor...
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January 30, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Glennon Cole (CRD# 1999588) of Moloney Securities, after the filing of several customer complaints with the Financial Industry Regulatory Authority (“FINRA”) alleging collective investor damages of $650,000. Investors that suffered losses with broker Glennon Cole are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or...
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January 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating investment advisor Phillip Atteberry (CRD# 4247195) of Creative Planning and Gupta Wealth Management. According to the Securities and Exchange Commission’s AdviserInfo, Phillip Atteberry of Creative Planning and Gupta Wealth Management is facing several pending customer complaints alleging over $14,000,000 in collective investor damages. One of the complaints allegedly...
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January 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Kay Johnson (CRD #1583193) of Onesource Fi, and formerly of National Securities Corporation. According to FINRA BrokerCheck, Kay Johnson of Onesource Fi, and formerly of National Securities Corporation is currently facing two pending customer complaints filed in 2024 seeking collective damages of over $4.7 million for alleged...
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January 23, 2025 | Broker / Advisor Investigation
National investment loss lawyers KlaymanToskes is investigating broker Thomas Jenkins of UBS Financial Services (CRD #2562513). According to FINRA BrokerCheck, Thomas Jenkins of UBS Financial Services is involved in an investor dispute alleging $1,000,000 in damages, negligence, and breach of fiduciary duty for failing to transfer the customer’s assets to certain trusts, resulting in tax...
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