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Category: Broker Misconduct

Did Your Broker/Advisor Unsuitably Recommend Sorrento Therapeutics? Contact KlaymanToskes

  • April 26, 2023

Sorrento Therapeutics Investors May be Entitled to a Financial Recovery: Contact KlaymanToskes for a free consultation at 888-997-9956.

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$923k Investor Complaint Against Seth Mason at Morgan Stanley

  • April 26, 2023

Former Customers of Morgan Stanley Broker Seth Gordon Mason (Grand Rapids, MI): Contact KlaymanToskes for a free consultation at 888-997-9956

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Scott Erik Aabel of Spire Securities: $800k in Customer Complaints

  • April 25, 2023

If you suffered losses with Spire Securities Broker/Investment Advisor Scott Erik Aabel, contact KlaymanToskes at (888) 997-9956.

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David Richard Geake Customers: KT Law Firm Pursues $500k Recovery for Unauthorized Investments

  • April 25, 2023

National investment loss attorneys KlaymanToskes issues an important notice to customers of broker/investment advisor David Richard Geake who suffered investment losses at American Trust Investment Services in Chicago, IL. Affected investors should contact the firm immediately at 888-997-9956.

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Ex-SW Financial Brokers Face $10.3M in Customer Complaints for Unauthorized and Excessive Trading

  • April 25, 2023

Investment Losses with NYC Brokers Vincenzo Trimaldi, David Alvarado, or John Girgis? Contact KlaymanToskes immediately at (888) 997-9956.

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Notice to Customers of Spartan Capital and SW Financial: Broker John Palma Receives $800K Complaint

  • April 25, 2023

Investment Losses with Broker John Michael Palma at Spartan Capital? Contact KlaymanToskes for a free consultation at 888-997-9956.

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Ernest Harris of Union Capital: $300K Investment Complaint

  • April 25, 2023

Ernest Harris of Union Capital Company: Investor Files $300K Unsuitable Investment Complaint. Contact KlaymanToskes for recovery options.

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Nabil Bouab of American Portfolios Causes a New Jersey Couple $776,000 in Damages

  • October 28, 2022

The law firm of KlaymanToskes is representing a New Jersey couple in a FINRA arbitration claim (Case No. 22-02410) against Nabil “Bilo” Bouab and American Portfolios Financial Services seeking $776,000. The claim alleges that Bouab and American Portfolios violated various securities laws by providing unsuitable investment advice, churning, and mismanaging discretionary accounts among other things.

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David Hixon Terminated: KlaymanToskes Investigates Securities Violations While at Morgan Stanley

  • July 29, 2022

David Thomas Hixon has been indefinitely suspended from working as a financial advisor as of July 20, 2022, according to a recently issued FINRA Disciplinary Proceeding. His suspension results from his failure to provide complete responses to FINRA’s requests for documents and information connected with a FINRA investigation.

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