UNITED PLANNERS GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages United Planners Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

UNITED PLANNERS GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages United Planners Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

United Planners GPB Capital Investment Losses?  If you were recommended to invest in private placement securities of GPB Capital Holdings and have losses in excess of $100,000, contact us today at (888) 997-9956 National investor fraud law firm, KlaymanToskes (“KT”), advises former and current customers of United Planners Financial Services who invested in GPB Capital Holdings (“United Planners GPB Capital Investigation”) to explore their legal options in light of the ongoing Securities & Exchange Commission (“SEC”) action against GPB Capital. KT strongly encourages investors who purchased GPB Capital through United Planners to consider filing a securities arbitration claim with the Financial…

SAGEPOINT GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

SAGEPOINT GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

SagePoint Financial GPB Capital Investment Losses?  If you were recommended to invest in private placement securities of GPB Capital Holdings and have losses in excess of $100,000, contact us today at (888) 997-9956 National investor fraud law firm, KlaymanToskes (“KT”), advises former and current customers of SagePoint Financial who invested in GPB Capital Holdings (“SagePoint Financial GPB Capital Investigation”) to explore their legal options in light of the ongoing Securities & Exchange Commission (“SEC”) action against GPB Capital. KT strongly encourages investors who purchased GPB Capital through SagePoint Financial to consider filing a securities arbitration claim with the Financial Industry Regulatory…

FSC SECURITIES GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages FSC Securities Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

FSC SECURITIES GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages FSC Securities Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

FSC Securities GPB Capital Investment Losses?  If you were recommended to invest in private placement securities of GPB Capital Holdings and have losses in excess of $100,000, contact us today at (888) 997-9956. National investor fraud law firm, KlaymanToskes (“KT”), advises former and current customers of FSC Securities who invested in GPB Capital Holdings (“FSC Securities GPB Capital Investigation”) to explore their legal options in light of the ongoing Securities & Exchange Commission (“SEC”) action against GPB Capital. KT strongly encourages investors who purchased GPB Capital through FSC Securities to consider filing a securities arbitration claim with the Financial Industry Regulatory…

SAGEPOINT FINANCIAL GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

SAGEPOINT FINANCIAL GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

SagePoint Financial GPB Capital Investment Losses?  If you were recommended to invest in private placement securities of GPB Capital Holdings and have losses in excess of $100,000, contact us today at (888) 997-9956. National investor fraud law firm, KlaymanToskes (“KT”), advises former and current customers of SagePoint Financial who invested in GPB Capital Holdings to explore their legal options in light of the ongoing Securities & Exchange Commission (“SEC”) action against GPB Capital. KT strongly encourages investors who purchased GPB Capital through SagePoint Financial to consider filing a securities arbitration claim with the Financial Industry Regulatory Authority (“FINRA”) as an additional…

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

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

Eugene McAdams Joseph Stone Customer? Ex-Joseph Stone Capital, LLC Broker Barred by Securities Industry as FINRA Investigate Suitability Recommendations National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Eugene McAdams Joseph Stone Investigation”) into former Joseph Stone Capital, LLC broker Eugene Arthur McAdams in light of a disciplinary bar disclosed by FINRA. In August 2021, FINRA barred Eugene McAdams from the securities industry. The bar relates to Eugene McAdams’s refusal to appear for on-the-record (“OTR”) testimony to FINRA. The OTR testimony relates to FINRA’s investigation into the suitability of McAdam’s recommended securities transactions in customers’ accounts while registered…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Daniel O’Neill Aegis Capital Investigation”) into former Aegis Capital broker Daniel J. O’Neill (“Daniel O’Neill”) in light of complaint recently filed by FINRA. In July 2021, FINRA filed a Complaint against Daniel O’Neill relating to excessively and unsuitably trading the account of one of his customers at Aegis Capital. Daniel O’Neill Aegis Capital and the July 2021 FINRA Complaint On July 29, 2021, FINRA filed a complaint against Ex-Aegis Capital broker Daniel O’Neill. The Complaint alleged that Daniel O’Neill excessively and unsuitably traded the account of one of his…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Lee Nordstrom Vorphal Wing Securities Investigation”) into former Vorphal Wing Securities broker Lee Victor Nordstrom (“Lee Nordstrom”) in light of a disciplinary bar disclosed by FINRA. In October 2021, FINRA barred Lee Nordstrom from the securities industry. FINRA barred Lee Nordstrom for his failure to appear for on-the-record testimony requested by FINRA. The on-the-record testimony relates to whether Lee Nordstrom engaged in potential unsuitable and excessive trading in several customer accounts. Lee Nordstrom Vorphal Wing Securities and the October 2021 FINRA Disciplinary Action According to BrokerCheck, FINRA barred Lee…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Eric Hollifield Hamilton Investment Counsel Investigation”) into former Hamilton Investment Counsel, LLC investment advisor, Eric Shea Hollifield (“Eric Hollifield”) in light of a disciplinary bar disclosed by FINRA. In October 2021, FINRA barred Eric Hollifield from the securities industry. The bar follows a customer dispute alleging Eric Hollifield misappropriated $1,240,000 of client funds. Eric Hollifield Hamilton Investment Counsel and the October 2021 FINRA Disciplinary Action According to BrokerCheck, FINRA barred Eric Hollifield for refusing to appear for on-the-record testimony or to produce the documents and information requested pursuant in…

Eric Hollifield LPL Financial Investor Alert: FINRA Bars Dacula, Georgia Broker

Eric Hollifield LPL Financial Investor Alert: FINRA Bars Dacula, Georgia Broker

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Eric Hollifield LPL Financial Investigation”) into former LPL Financial broker Eric Shea Hollifield (“Eric Hollifield”) in light of a disciplinary bar disclosed by FINRA. In October 2021, FINRA barred Eric Hollifield from the securities industry. The bar follows a customer dispute alleging Eric Hollifield misappropriated $1,240,000 of client funds. Eric Hollifield LPL Financial and the October 2021 FINRA Disciplinary Action According to BrokerCheck, FINRA barred Eric Hollifield for refusing to appear for on-the-record testimony or to produce the documents and information requested pursuant in connection with FINRA’s investigation into…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Jeffrey Dampf PFS Investments, Inc. Investigation”) into former PFS Investments, Inc. broker Jeffrey Dampf stemming from a disciplinary bar disclosed by FINRA. On October 1, 2021, FINRA barred Jeffrey Dampf for refusing to provide on-the-record testimony or produce documents and information requested by FINRA in connection with its investigation into allegations that Jeffrey Dampf misappropriated funds from elderly individuals. In 2020, Jeffrey Dampf was criminally charged with attempted theft for trying to electronically transfer money from an elderly person, with whom he held power of attorney, for Jeffrey Dampf’s…

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

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

National investor fraud law firm KlaymanToskes is investigating (“Jeffrey Warren Oppenheimer & Co. Investigation”) allegations made against Jeffrey Warren (CRD#2707969), arising from a beneficiary complaint regarding a gift given to Jeffrey Warren by the now deceased customer prior to their death. FINRA BrokerCheck of Jeffrey Warren Oppenheimer & Co. Jeffrey Warren was permanently barred from the securities industry after he refused to produce information and documents in response to the FINRA investigation of this customer gift to Jeffrey Warren in violation of FINRA rules.  Prior to this investigation Jeffrey Warren had received four separate customer complaints related to his handling…

ATTENTION MARTIN LERNER DAVID LERNER ASSOCIATES CUSTOMERS: National Investor Fraud Law Firm KlaymanToskes Investigates Broker in Light of $600,000 Energy 11 LP Customer Dispute

ATTENTION MARTIN LERNER DAVID LERNER ASSOCIATES CUSTOMERS: National Investor Fraud Law Firm KlaymanToskes Investigates Broker in Light of $600,000 Energy 11 LP Customer Dispute

National securities fraud law firm, KlaymanToskes (“KT”), continues to investigate (“Martin Lerner David Lerner Associates Investigation”) David Lerner Associates, including Martin Lerner (CRD#871038), for the unsuitable concentration in proprietary products invested in non-traded Oil & Gas Investments offered exclusively to its clients. The concentrated investments include Energy 11 LP, Energy Resource 12 LP, and Spirit of America Fund. In addition to the precipitous loss in value, most of investors’ interest payments are now considered return of capital. FINRA BrokerCheck – Martin Lerner According to FINRA BrokerCheck, Martin Lerner has 9 disclosures on his BrokerCheck Report. Two (2) disclosures, which are FINRA Arbitrations filed by customers,…

DAVID LERNER ASSOCIATES ENERGY 11 LP INVESTOR ALERT: National Investor Fraud Law Firm Continues Investigation of Spirit of America Fund, Energy 11 LP, and Energy 12 LP

DAVID LERNER ASSOCIATES ENERGY 11 LP INVESTOR ALERT: National Investor Fraud Law Firm Continues Investigation of Spirit of America Fund, Energy 11 LP, and Energy 12 LP

National securities fraud law firm, KlaymanToskes (“KT”), continues to investigate (“David Lerner Associates Energy 11 LP Investigation”) David Lerner Associates for the unsuitable concentration in proprietary products invested in non-traded Oil & Gas Investments offered exclusively to its clients.  The concentrated investments include Energy 11 LP, Energy Resource 12 LP, and Spirit of America Fund. In addition to the precipitous loss in value, most of investors’ interest payments are now considered return of capital. David Lerner Associates Energy 11 LP, Energy 12 LP, and Spirit of America Fund Investigation The investigation focuses on whether David Lerner Associates failed to supervise the sales and marketing of its…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“David Wells Fifth Third Securities”) into former Fifth Third Securities, Inc. broker David S. Wells in light of a recent disciplinary action disclosed by FINRA. On September 20, 2021, FINRA disclosed in a Letter of Acceptance, Waiver and Consent that it has barred former Fifth Third Securities broker David Wells (Chicago, IL) relating to his refusal to appear for on-the-record testimony and to provide information and documents requested pursuant to FINRA Rule 8210 and 2010. What is a FINRA AWC? According to FINRA Rule 9216, if FINRA’s Department of…

Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker

Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation into former Worden Capital Management, LLC and current SW Financial registered representative Joseph Paul Todaro (Joseph Todaro Worden Capital Investigation) in light of a customer dispute filed against the Melville, NY broker alleging excessive trading. Joseph Todaro Worden Capital Investigation – BrokerCheck of Joseph Todaro According to FINRA BrokerCheck, Joseph Paul Todaro was registered as a broker with Worden Capital Management LLC from March 2018 to August 2020. He is currently a registered representative with SW Financial out of its Melville, NY branch. Joseph Todaro’s FINRA BrokerCheck contains four…

Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes

Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation into former Voya Financial and current Cetera Advisors Network registered representative Ronnie Metcalf (“Ronnie Metcalf Voya Financial Cetera Advisors Investigation”) in light of recent FINRA customer disputes filed claiming investment losses relating to the Greenville, SC financial adviser. Ronnie Metcalf Voya Financial Investigation – BrokerCheck According to FINRA BrokerCheck, Ronald Franklin Metcalf, Jr. was registered as a broker with Voya Financial Advisors from May 2000 to June 2021 out of the firm’s Greenville, SC office. Ronnie Metcalf is now registered with Cetera Advisor Networks in Greenville, SC. Ronnie Metcalf’s…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Stephen Sullivan Spartan Capital Investigation”) into Spartan Capital Securities broker Stephen James Sullivan in light of a recent preliminary determination by FINRA to recommend disciplinary action to be brought against him relating to, in part, churning, excessive trading and unsuitable recommendations. Stephen Sullivan Spartan Capital Investigation and FINRA’s Preliminary Determination According to FINRA BrokerCheck, on August 10, 2021, FINRA made a preliminary determination to recommend that disciplinary action be brought against Stephen Sullivan alleging violations of Section 10(b) of the Exchange Act, Exchange Act Rule 10b-5, and FINRA Rules…

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

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

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Horizon Oppenheimer Investigation”) of potential FINRA arbitration claims on behalf of former and current Oppenheimer & Co., Inc. (“Oppenheimer”) customers who invested in the alleged Horizon Private Equity III (“Horizon”) Ponzi scheme. Horizon Oppenheimer Investigation – Oppenheimer, Southport Capital, and Horizon Private Equity III Ponzi Scheme Investors are suing Oppenheimer for its role in enabling a massive Ponzi scheme devised by Marietta, Georgia resident and former Oppenheimer registered representative, John Woods, which was operated through his firm, Southport Capital. From 2008 to 2016, John Woods and his brother Jim…

GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors

GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors

Did you suffer GPB Capital investment losses? National investor fraud law firm, KlaymanToskes (“KT”), continues to investigate and pursue FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars of private placement securities in GPB Holdings, LP in the form of notes. GPB Capital Investments Under Investigation GPB Capital sold and marketed non-registered private placement notes through inadequate disclosure of illiquidity, high risks and commissions which made the investments unsuitable for most investors. The securities under investigation include: GPB Automotive Portfolio, LPGPB Cold Storage, LPGPB Holdings, LPGPB Holdings II, LPGPB Holdings III, LPGPB Holdings Qualified, LP     GPB NYC Development,…

NOTICE TO GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Over $1,000,000 for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors

NOTICE TO GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Over $1,000,000 for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors

National investor fraud law firm, KlaymanToskes (“KT”), continues to investigate and pursue FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars of private placement securities in GPB Capital Holdings (“GPB”) in the form of notes, including a claim (FINRA Case No. 20-00096) seeking over $1,000,000 against Royal Alliance Associates, Inc. (“Royal Alliance”). GPB Capital Investigation According to the claim, the investor instructed Royal Alliance to invest his hard-earned savings and inheritance in a suitable manner, which included protecting his principal and present income. Instead, Royal Alliance concentrated a substantial portion of the investor’s assets into…