Ex-Edward Jones Broker Penalized for Reg BI Violation

• December 13, 2024

Morgan Stanley Fined $15 Million for Failing to Detect Broker Fraud

• December 13, 2024

Former Merrill Lynch Advisor Jared Eakes Faces SEC and DOJ Charges for Defrauding Clients and Misusing Pandemic Relief Funds

• August 01, 2024

United Planners Ordered to Pay Over $1M in Broker Fraud Case

• July 30, 2024

Notice to Customers of Suspended Broker Daniel Snodgrass: Contact KlaymanToskes Immediately

• February 02, 2024

Investment Losses in Crypto Assets Due to Unsuitable Recommendations by Your Broker/Advisor? Contact KlaymanToskes

• January 24, 2024

Notice to Customers of Broker Ron Filoramo Who Suffered Investment Losses at Morgan Stanley: Contact KlaymanToskes

• January 18, 2024

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

• November 04, 2023

Tim Campbell of Campbell & Associates Hit with Complaint

• October 06, 2023

Richard Rogers of Belpointe Asset Management Resigns

• October 06, 2023

John Franzino of J&M Financial Faces Customer Complaint

• October 05, 2023

Talin Kalaydjian of Western International Faces Customer Complaint

• October 05, 2023

Andrew Pesner of Joseph Stone: $295k Customer Complaint

• October 05, 2023

Joey Jarvis of J.P. Morgan: Customer Complaint Pending

• October 04, 2023

Maurice Kelley of Merrill Lynch Hit with Customer Complaint

• October 04, 2023

Mike Hamilton of Hamilton Wealth: Investigated by the SEC

• October 03, 2023

Clayton Shum Customers: Recover Your Investment Losses

• October 02, 2023

Dan Lundquist of Ausdal Financial: $50k Customer Complaint

• October 02, 2023

Devin Patel/Financial Gravity Wealth: $1.5M Complaint Filed

• October 02, 2023

Ron Filoramo Barred by FINRA and Charged by the SEC

• September 29, 2023

Mitchell Jacobs of Ameriprise: $222k Customer Complaint

• September 27, 2023

William Ard of Morgan Stanley Suspended by FINRA

• September 26, 2023

Jeffrey Kirkpatrick of LPL Financial Suspended by FINRA

• September 25, 2023

Robert Aikins of Gateway Financial: Unauthorized Trading Complaint

• September 22, 2023

Norman Harp of Retirement Resources: $101k Customer Dispute

• September 22, 2023

Milind Dalal of Clarity Wealth: $500k Customer Complaint

• September 22, 2023

Ron Filoramo Terminated by Morgan Stanley for Misconduct

• September 21, 2023

Jeffrey Walls of Wells Fargo Faces Discretionary Account Complaint

• September 21, 2023

Daniel Snover of PMV Capital: $383k Customer Complaint

• September 20, 2023

Elba Nogueras Customers: Recover First Southern Losses

• September 20, 2023

William Hayden of Texas Securities Facing $265k Complaint

• September 18, 2023

Mike Persinski of Citigroup: $56M Customer Complaint

• September 18, 2023

Angel Ferrer of Citigroup: $56M Customer Complaint

• September 18, 2023

Seth Stewart of Brookstone Financial: Customer Complaints Filed

• September 15, 2023

Juan Elwaw of Morgan Stanley: $2.9M Customer Complaint

• September 07, 2023

Matias Cavalieri of Morgan Stanley: $2.9M Customer Complaint

• September 07, 2023

Matt Stucke of Macrocarpa Private Wealth: $370k Complaint

• September 06, 2023

Andy Rodgers of Mainspring Wealth: $134k Customer Complaint Filed

• September 01, 2023

Lisa Mantei of Cola Wealth: $200k Customer Complaint

• August 28, 2023

Alternative Investment Losses with Gilbert Conrad? Contact KlaymanToskes

• August 24, 2023

Theresa Allen of First Republic: Preferred Stock Losses?

• August 23, 2023

Lisa Capobianco of Morgan Stanley: $168k Customer Complaint

• August 17, 2023

Shelly Wolfsdorf of Dalmore Group: $850k Customer Complaint

• August 15, 2023

Taylor Thompson of UBS: $1M Customer Complaint Filed

• August 15, 2023

Ross Hoffman of Hoffman & Associates: $637k Customer Complaint

• August 15, 2023

Gary Anderson of Anderson Advisors: $700k in Customer Complaints

• August 14, 2023

Edward Rosenblatt of Cetera Advisors Facing $200k Complaint

• August 11, 2023

Shawn Spellacy of Calton & Associates: $719k Complaint

• August 09, 2023

Derek Su of U.S. Capital Wealth: $2.2M Customer Complaint

• August 07, 2023

Rene Javier Castro: $450k in Customer Complaints

• August 04, 2023

Francis Carson of Chapel Wealth: $1.4M Customer Complaint

• August 03, 2023

Losses in Nuveen Closed-End Funds (NYSE: NAD) with Bill King?

• August 03, 2023

Jeffrey Gitterman of Gitterman Wealth: $200k Customer Complaint

• August 03, 2023

Alternative Investment Losses with David Geake? Contact KlaymanToskes

• July 31, 2023

VERO BEACH INVESTORS: Losses with William (Bill) King?

• July 17, 2023

Joe Katzaroff of UBS Financial Services: 4 Customer Complaints

• July 17, 2023

Brad Jacobson of Wells Fargo Barred by FINRA

• July 07, 2023

American Portfolios Customers: Losses with Nabil Bouab?

• July 05, 2023

Investment Losses with Jeff Geraci/Mission Critical FPI?

• June 29, 2023

Investment Losses with Gregory Sain? Contact KlaymanToskes

• June 28, 2023

Investment Losses with Michael Spector of Morgan Stanley?

• June 26, 2023

Joseph Todd of Centaurus Financial Suspended by FINRA

• June 26, 2023

Austin Dutton of American Trust Investment Services/Primex

• June 15, 2023

Sharon Hayut of Morgan Stanley/Magnus Financial Suspended by FINRA

• June 13, 2023

Investment Losses with Broker Russ Conrad? Contact KlaymanToskes

• June 13, 2023

Jeffrey Cohen of Moloney Securities Barred by FINRA

• June 12, 2023

William Worthen (Bill) King of The King Conley Group Resigns From Merrill Lynch

• June 11, 2023

Rocco Guidicipietro of Alexander Capital: $2.6M Complaint

• June 05, 2023

Investment Losses With Austin Dutton? Contact KlaymanToskes

• June 05, 2023

Aramis Guerin Faces $115k Customer Complaint for Excessive and Unauthorized Trading

• June 05, 2023

Brian Reilly of Equity Services/MML Suspended By FINRA

• June 05, 2023

Michael Raineri of Raineri Financial Barred by FINRA

• June 05, 2023

Duncan MacEachern of Celtic Wealth Management Group: $800k Customer Complaint for Illiquid Investments

• June 05, 2023

Rhett Bedwell Customers: LPL Financial Investment Losses? Contact KlaymanToskes

• June 05, 2023

Investment Losses with Morgan Stanley in Florham Park, NJ? Contact KlaymanToskes

• June 02, 2023

DAVID LERNER CUSTOMER ALERT: WHITE PLAINS, NY BRANCH

• June 02, 2023

DAVID LERNER CUSTOMER ALERT: SYOSSET, NY BRANCH

• June 02, 2023

Losses with The Seminara Group of Morgan Stanley? Contact KlaymanToskes

• June 02, 2023

DLA INVESTOR ALERT (TEANECK, NJ & LAWRENCEVILLE, NJ)

• June 01, 2023

Rodney Stuart Ferguson of Ferguson Financial Group and NYLife Securities: Over $500k in Customer Complaints

• May 12, 2023

Notice to McDonald’s Executives, Franchisees, and Employees: Did Your Brokerage Firm’s Failed Options Strategy Cause You Losses/Shares?

• May 12, 2023

C. Raymond Weldon of Weldon & Company: Over $500k in Customer Complaints

• May 12, 2023

Attention Nabil “Bilo” Bouab Customers in the Tri-State Area: KlaymanToskes Pursues Over $1M in Client Recoveries Against American Portfolios

• May 11, 2023

Notice to Bank of Estes Park Customers of Jeffrey Allen Morris: Investment Losses in Estes Park, CO? Contact KlaymanToskes

• May 11, 2023

Broker Jose M. Candelario Padilla Suspended: Recover Your Nationwide Investment Losses – Contact KlaymanToskes

• May 10, 2023

Stifel, Nicolaus & Co. Ordered to Pay $3.2M Over Broker Joseph Crespi’s “Predatory Sales Practices” Towards Elderly Investors, Non-Profits, and Churches

• May 05, 2023

Did Your B. Riley Broker Recommend Risky Alternative Investments? Contact KlaymanToskes

• April 26, 2023

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.

Brokers/Advisors Suspended and Barred by FINRA – March 2023

• April 26, 2023

$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

Notice to Customers of Ameriprise Financial’s NYC Branches: KlaymanToskes Has Recovery Options

• April 26, 2023

Ex-UBS Broker Francis Xavier Amsler Investors Recover Over $10M

• April 26, 2023

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.

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.

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.

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.

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.

Ocean Financial Services Customers: Losses in Northstar?

• April 20, 2023

Notice to Melville, NY Customers of Aegis Capital: Losses with Hector Crespo Jr.?

• April 20, 2023

UBS Broker David Ray Barnes: $3.4M Complaint

• April 20, 2023

Attention Customers of David Elson Palmiter: Investor Files $200k Complaint

• April 20, 2023

Attention PHX Financial (Hauppauge, NY) Customers: Review Your Accounts For Losses

• March 23, 2023

Notice to Morgan Stanley Napa, CA Customers: Vice President Christopher McCaffrey’s $15 Million Options-Related Customer Complaint

• March 21, 2023

Nabil Bouab Customers: KlaymanToskes Files Over $1 Million in Investor Complaints Against Bouab

• March 21, 2023

Bryan Lubitz of Equitable Advisors & Aegis Capital: Six Investor Complaints Filed

• March 21, 2023

UBS Financial’s West Palm Beach, FL Branch: Broker/Advisor Alert

• March 21, 2023

West Palm Beach Broker/Advisor Michael Vassalotti: $974K Customer Complaint 

• March 16, 2023

Broker Lei (Peter) Shen: $1.5M Customer Complaint Alleges Unsuitability and Over Concentration

• March 16, 2023

David Turetzky Customers: Investor Alleges $4.4 Million in Damages

• March 16, 2023

Notice to William Worthen King Customers: Investors Allege $600K in Damages to their Merrill Lynch Account

• March 16, 2023

Notice to Beverly Hills PHX Financial Customers: Losses with Jim Scala? Contact KlaymanToskes

• March 15, 2023

Peter Girgis of SW Financial: Over $2.8M in Investor Complaints 

• March 10, 2023

Charles Schwab Broker Caroline Ehlers Investigated for Fraud by Illinois Securities Department 

• March 09, 2023

Northstar (Bermuda) Investor Files Complaint Against Gonzalo Angel Ruiz of Ocean Financial Services

• March 06, 2023

Investors Can Use Free Tool FINRA BrokerCheck to Learn About Their Brokers and Financial Advisors

• March 03, 2023

John A. Dougherty of Blue Bell, PA: $5M Securities-Based Loan Strategy Fails Costing Investor Millions

• March 03, 2023

KlaymanToskes Investigates Financial Professionals Suspended by FINRA in 2023

• March 03, 2023

Investor Files $1M Complaint Against Morgan Stanley Adviser Jimmy Monken Over Reg BI Violations

• March 03, 2023

Jeffrey Alan Bishop Terminated by Principal Securities, Inc. Following Misconduct Violations

• March 03, 2023

Investor Files $2M Complaint Against Adviser Staci Ann Compagno

• March 02, 2023

Attention Gary Gustave Benson Customers: Over $200k in GWG L Bond Complaints Filed

• February 27, 2023

Orion Wealth CEO Antoine Shamlee: Over $250k in Investor Complaints 

• February 27, 2023

Investment Losses with Jose Luis Valdez Jr. of Spartan Capital Securities? Contact KlaymanToskes

• February 14, 2023

WealthForge Securities (CCO) James Leroy Raper Jr. : $6M in Investor Complaints

• February 13, 2023

Regions Securities Broker Coleigh Mckay: $30 Million Investor Complaint

• February 13, 2023

Daniel K. Beech Customers: Over $2.5 Million in GWG Investor Complaints Filed

• February 10, 2023

Kenneth Ramos of Stifel, Nicolaus & Co.: $389k Unsuitable Investment Complaint

• February 08, 2023

Michael I. Yoon of MML Investors Services: $500k Customer Complaint

• February 07, 2023

Attention Pennsylvania Investors: Donald Allen Blankenship Investigated by FINRA for Misconduct

• February 07, 2023

Attention Adam Jesse Gurien Customers: $650k Investor Complaint Filed

• February 06, 2023

Martin Klein of RBC Capital: Over $34 Million in Investor Complaints

• February 03, 2023

Attention Michael Dellinger Investors: Over $4.5 Million in Complaints Filed Against UBS Broker

• January 25, 2023

Frank Seminara Customers: Review Your Accounts For Losses

• January 11, 2023

Raymond Sardina and Raymond James Face $1.5M Lawsuit Over Investment Losses

• January 09, 2023

FINRA Bars Ex-LPL Broker John N. Terzis for Borrowing $200k from Investor

• January 04, 2023

Jimmy Yang Driggers: $4.4 Million In Investor Complaints

• December 30, 2022

Attention Oppenheimer & Co. Investors: KlaymanToskes Continues Investigation of Horizon Private Equity III Fund

• December 13, 2022

Joseph Stone Capital to Pay $1 Million in Restitution for Excessive Trading

• December 01, 2022

Allen Hershberg Barred: KlaymanToskes Investigates Violations While at Morgan Stanley

• November 18, 2022

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.

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

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