Ernest Frerking Terminated: KlaymanToskes Investigates Violations While at Merrill Lynch

• August 06, 2022

SEC Sanctions Aegis Capital $2.3 million and Paul Gallivan $25,000 in Civil Penalties for Industry Violations Related to Structured Products

• August 01, 2022

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.

FINRA Sanctions Former Financial Advisor Richard Hogan Over Selling Away Transactions

• July 28, 2022

National Securities Corporation GPB Capital Investor Alert

• June 23, 2022

Horizon Private Equity Ponzi Scheme Investor Update

• June 22, 2022

Paul Murphy Calton & Associates Investment Losses?

• June 01, 2022

Edric McSween Ameriprise Financial Services Investment Losses?

• June 01, 2022

National Securities Corporation GWG L Bond Losses?

• May 23, 2022

John Crigler JRL Capital GWG L Bonds Investor Alert

• May 18, 2022

GWG L Bonds Losses with Colorado Financial Advisor Ann Louise Werts?

• May 11, 2022

Arizona Broker Janie Garza-Clark Barred by FINRA

• May 11, 2022

Lose Money Investing with NI Advisors’ Peter Po on GWG L Bonds?

• May 09, 2022

Emerson Equity GWG L Bond Losses?

• May 04, 2022

Lost Money Investing in GWG L Bonds with Tony Barouti?

• May 04, 2022

Recover Morgan Stanley Tony Gallea Covered Call Options Investment Losses

• April 29, 2022

Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA

• March 14, 2022

Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft

• February 23, 2022

Recover Darryl Cohen Morgan Stanley Investment Losses

• February 14, 2022

Former Hilltop Securities Broker Dennis Ayre Barred from Securities Industry

• February 09, 2022

Recover JDN Capital Josh Nicholas Misappropriation Investment Losses

• January 28, 2022

Former UBS Financial Advisor German Nino Accused of Stealing $5.8M from Client

• January 27, 2022

Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

• January 25, 2022

ATTENTION JAMES ALAN SEIJAS CUSTOMERS THAT INVESTED IN THE Q3 TRADING CLUB: National Investment Fraud Lawyers KlaymanToskes Investigates Former Wells Fargo Broker in Light of His Role in a Crypto Ponzi Scheme, Bar from Industry

• January 25, 2022

FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

• January 20, 2022

Joel Kichline Sanctioned for Unauthorized Trading at Raymond James

• January 17, 2022

Recover John LoPinto Worden Capital Investment Losses

• January 14, 2022

(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges

• January 05, 2022

Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million

• January 01, 2022

Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA

• December 02, 2021

Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

• November 30, 2021

Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

• November 29, 2021

AEGIS CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Aegis Capital after FINRA Sanctions Aegis Capital and its Melville Branch Manager For Supervisory Violations Costing Investors Millions

• November 16, 2021

DAVID MELILLI INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor David Melilli

• November 12, 2021

Thomas Brenner First American Securities Investor Alert: Barred Orrville, OH-Based Broker Facing Securities Fraud Charges

• November 09, 2021

RICHARD WESSELT INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt

• November 04, 2021

JIHYE KANG AXA ADVISORS INVESTMENT LOSSES? National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Broker in Light of Forgery Accusations, Securities Bar

• November 04, 2021

Ken Welsh Wells Fargo Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Fairfield, NJ Financial Advisor

• November 02, 2021

LPL FINANCIAL, LLC MICHAEL HARTLETT INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation after Financial Advisor Michael Hartlett Consents to Suspension and Fine

• October 29, 2021

JEFFREY DROST RAYMOND JAMES INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Raymond James Broker in Light of Potential Unauthorized Borrowing Allegations

• October 19, 2021

EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation

• October 18, 2021

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

• October 12, 2021

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

• October 11, 2021

ATTENTION Eric Hollifield Hamilton Investment Counsel Customers: Dacula, Georgia Investment Advisor Accused of Misappropriating $1.24M of Client Funds

• October 08, 2021

Jeffrey Dampf PFS Investments, Inc. Investor Alert: FINRA Bars PFS Investments, Inc. Broker

• October 07, 2021

John Kevin Barrett Emerson Equity Investor Alert: FINRA Bars Ex-Emerson Equity Broker

• October 05, 2021

Jeffrey Warren Oppenheimer & Co. Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Florida Financial Advisor in Light of Securities Bar

• October 01, 2021

David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds

• September 28, 2021

ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations

• September 16, 2021

ATTENTION CURRENT AND FORMER OPPENHEIMER CUSTOMERS WHO INVESTED IN HORIZON PRIVATE EQUITY III: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of Potential Claims on Behalf of Oppenheimer Customers Over Ponzi Scheme Losses

• September 02, 2021

ATTENTION GPB CAPITAL ROYAL ALLIANCE INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Damages Up to $5,000,000 Against Royal Alliance for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors

• August 20, 2021

GPB Capital Investor? The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate, Pursue Claims Against Full-Service Brokerage Firms on Behalf of GPB Capital Investors

• August 18, 2021

ATTENTION THOMAS STRATTON WORLD CHOICE SECURITIES CUSTOMERS: FINRA BARS BROKER RELATING TO ITS INVESTIGATION OF POTENTIAL MISUSE OF CUSTOMER FUNDS

• August 13, 2021

ATTENTION CASEY KEMERLY EDWARD JONES CUSTOMERS: The Securities Arbitration Law Firm of KlaymanToskes Announces Investigation of Former Edward Jones Broker Barred by FINRA

• August 12, 2021

ATTENTION HJ SIMS BOCA RATON FL CUSTOMERS: KlaymanToskes Announces Investigation of HJ Sims’s Boca Raton, FL Branch in Light of the SEC’s Recent $250,000 Fine for Unsuitable Variable Interest Rate Structured Products Recommendations

• August 11, 2021

ATTENTION FELIX CHU NYLIFE SECURITIES CUSTOMERS: KlaymanToskes Announces Investigation of Former California-Based NYLife Securities Broker

• August 09, 2021

ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker

• August 04, 2021

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

• July 21, 2021

Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint

• July 19, 2021

Securities America Advisors Fined Regarding Supervisory Failures and Ex-Broker Hector May

• July 16, 2021

FINRA Bars Former Wells Fargo Broker Tyler Rigsbee

• July 13, 2021

FINRA Orders Sanctuary Securities, Inc. to Pay $530K for Non-Traditional ETF Supervisory Failures

• July 07, 2021

FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts

• July 06, 2021

FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts

• July 06, 2021

NOTICE TO ROBINHOOD FINANCIAL LLC INVESTORS – KlaymanToskes Commences Investigation for Robinhood Financial LLC (“Robinhood”) Investors With Losses in Excess of $100,000 Due to Firm’s Inappropriate Options Trading Approval

• July 02, 2021

FINRA Fines Independent Financial Group $200,000 for Failure to Supervise Alternative Investment Recommendations

• June 30, 2021

Sigma Financial Corporation Facing $4.5M in Potential Damages in Customer Disputes

• June 28, 2021

Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines

• June 26, 2021

NOTICE TO CLIENTS OF JEFFREY DIXSON WITH GPB CAPITAL: KlaymanToskes Investigates Former Madison Avenue Securities Broker Jeffrey Dixson Regarding Unsuitable GPB Capital Recommendations

• June 22, 2021

NORTHSTAR FINANCIAL SERVICES (Bermuda) INVESTMENT RECOVERY: KlaymanToskes Investigates Investor Losses

• June 21, 2021

Former LPL Financial Advisor Paul McGonigle Investigation

• June 15, 2021

FINRA Suspends Madison Avenue Securities Broker for Mutual Fund Sales Practice Violations

• February 11, 2021

FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded and Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations

• January 04, 2021

SEC Charges Broker-Dealers and Investment Advisory Firms for the Sales of Complex Exchange-Traded Products With More than $3 Million Returned to Retail Investors

• November 13, 2020

NOTICE TO CLIENTS OF MUTUAL OF OMAHA INVESTOR SERVICES, INC. AND EDWARD EARL MATTHES: The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation in Light of FINRA Disciplinary Action

• May 17, 2019

NOTICE TO ALL NEXT FINANCIAL GROUP, INC. CLIENTS: The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation for Failure to Supervise Excessive Trading and Unsuitable Trade Recommendations Resulting in Damages in Excess of $10 Million

• August 27, 2018

NOTICE TO CLIENTS OF STEVEN PAGARTANIS: The Securities Arbitration Law Firm of KlaymanToskes has commenced an Investigation in Light of Charges of First-Degree and Second-Degree Grand Larceny

• June 02, 2018

NOTICE PHILADELPHIA AREA LAW ENFORCEMENT AND FIREFIGHTERS WHO INVESTED WITH AUSTIN RICHARD DUTTON JR. AND NEWBRIDGE SECURITIES: The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate After Multiple FINRA Claims Filed

• February 02, 2018

Notice to Clients of Christopher Tolmacs and Triad Advisors: The Securities Arbitration Law Firm of KlaymanToskes has Commenced an Investigation into Potential Sales Practice Violations by Triad Advisors in Light of Recent Regulatory Action Alleging that its Broker Christopher Tolmacs Impermissibly Sold Promissory Notes to his Clients

• July 15, 2016

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Sales Practices Related to UBS ETRACS ETNs

• January 20, 2016