LOST MONEY IN GWG L BONDS? CLICK HERE TO LEARN MORE
LOST MONEY IN GWG L BONDS? CLICK HERE TO LEARN MORE
+1 (888) 997-9956
Home
About Us
Our Clients
Securities Violations
Account Activity Violations
Account Related Violations
NewsRoom
Resources
FAQs
Contact
Category:
Failure to Supervise
UBS Fined $850K by FINRA: Uncovering a Decade of Compliance Failures and Misconduct
July 10, 2024
Read More
Rockefeller Financial Faces $100k Regulatory Fine for Disclosure Lapse
January 24, 2024
Read More
Frank Kuiper of Concorde Investments: $1M Customer Complaint
October 09, 2023
Read More
Damian Maggio of Joseph Stone: $3M in Complaints Filed
October 06, 2023
Read More
Recovery Options for Webull Customers: Contact KlaymanToskes
July 17, 2023
Read More
Attention Michele Fane Customers: Investor Files $2.4M Complaint
February 17, 2023
Read More
Morgan Stanley to Pay Nearly $700k Over Unsuitable and High-Risk Investments
January 25, 2023
Read More
Losses in Henley & Company Ponzi Scheme? KlaymanToskes Has Recovery Options
January 05, 2023
Read More
Notice to LPL Financial Customers: LPL Fined $150k For Failure to Supervise Rhett Bedwell
December 12, 2022
Read More
National Securities Corporation GPB Capital Investor Alert
June 23, 2022
Read More
Horizon Private Equity Ponzi Scheme Investor Update
June 22, 2022
Read More
Morgan Hill GWG L Bond Investor Alert
June 22, 2022
Read More
Western International Securities GWG L Bond Alert
June 22, 2022
Read More
National Realty Investment Advisers Partners Portfolio Fund Bankruptcy
June 15, 2022
Read More
Shawn Good Morgan Stanley Investor Update: Morgan Stanley Hit with $2M Investor Complaint
June 09, 2022
Read More
GWG L Bond Alert: GWG Notifies SEC of Late Filing
June 02, 2022
Read More
Paul Murphy Calton & Associates Investment Losses?
June 01, 2022
Read More
Edric McSween Ameriprise Financial Services Investment Losses?
June 01, 2022
Read More
GWG L Bonds Commonly Asked Questions
May 31, 2022
Read More
National Securities Corporation GWG L Bond Losses?
May 23, 2022
Read More
Tony Barouti Facing GWG L Bond Investment Loss Claim
May 19, 2022
Read More
John Crigler JRL Capital GWG L Bonds Investor Alert
May 18, 2022
Read More
GWG L Bonds Losses with Colorado Financial Advisor Ann Louise Werts?
May 11, 2022
Read More
Arizona Broker Janie Garza-Clark Barred by FINRA
May 11, 2022
Read More
Lose Money Investing with NI Advisors’ Peter Po on GWG L Bonds?
May 09, 2022
Read More
GWG Investment Losses Alert: What Firms Sold GWG L Bonds?
May 05, 2022
Read More
Why is the SEC Investigating GWG Holdings and its L Bonds?
May 05, 2022
Read More
Emerson Equity GWG L Bond Losses?
May 04, 2022
Read More
Lost Money Investing in GWG L Bonds with Tony Barouti?
May 04, 2022
Read More
GWG Bankruptcy Prepares for Creditor’s Committee Meeting as L Bond Losses Loom
May 04, 2022
Read More
Recover Morgan Stanley Tony Gallea Covered Call Options Investment Losses
April 29, 2022
Read More
Recover GWG L Bond Investment Losses Following GWG Bankruptcy
April 27, 2022
Read More
Tony Barouti, Emerson Equity GWG L Bond Broker and CEO of Los Angeles-Based Barouti Financial Services, Facing Investor Complaints
April 23, 2022
Read More
Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA
March 14, 2022
Read More
Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft
February 23, 2022
Read More
Recover Darryl Cohen Morgan Stanley Investment Losses
February 14, 2022
Read More
Former UBS Financial Advisor German Nino Accused of Stealing $5.8M from Client
January 27, 2022
Read More
Aegis Capital’s Joseph LaScala Excessively Traded Customer Account
January 25, 2022
Read More
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
Read More
FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts
January 20, 2022
Read More
Wells Fargo Unit Investment Trust Failure to Supervise Early Rollovers, Settles with FINRA
January 07, 2022
Read More
(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges
January 05, 2022
Read More
Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million
January 01, 2022
Read More
Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA
December 02, 2021
Read More
Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading
November 29, 2021
Read More
ATTENTION KALOS CAPITAL GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 22, 2021
Read More
ATTENTION GENEOS WEALTH MANAGEMENT GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 19, 2021
Read More
ATTENTION FSC SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 18, 2021
Read More
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
Read More
TD AMERITRADE GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation Of and Files Claim Against TD Ameritrade Seeking in Excess of $500,000 on Behalf of Investor Who Purchased GPB Capital Through Advisor of TD AMERITRADE ADVISORDIRECT® Referral Program
November 08, 2021
Read More
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
Read More
Ken Welsh Wells Fargo Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Fairfield, NJ Financial Advisor
November 02, 2021
Read More
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
October 25, 2021
Read More
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
October 25, 2021
Read More
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
October 22, 2021
Read More
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
October 21, 2021
Read More
EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation
October 18, 2021
Read More
Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading
October 12, 2021
Read More
Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading
October 11, 2021
Read More
ATTENTION Eric Hollifield Hamilton Investment Counsel Customers: Dacula, Georgia Investment Advisor Accused of Misappropriating $1.24M of Client Funds
October 08, 2021
Read More
Jeffrey Dampf PFS Investments, Inc. Investor Alert: FINRA Bars PFS Investments, Inc. Broker
October 07, 2021
Read More
Jeffrey Warren Oppenheimer & Co. Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Florida Financial Advisor in Light of Securities Bar
October 01, 2021
Read More
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
September 30, 2021
Read More
David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds
September 28, 2021
Read More
Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker
September 27, 2021
Read More
Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes
September 22, 2021
Read More
ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations
September 16, 2021
Read More
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
Read More
GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors
August 24, 2021
Read More
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
August 23, 2021
Read More
NOTICE TO HAENA PARK PHAETRA FUNDS INVESTORS: National Investor Fraud Law Firm KlaymanToskes Is Investigating Individual Securities Arbitration Claims in Excess of $100,000 in Light of the Recently Filed Class Action Complaint Against Interactive Brokers
August 20, 2021
Read More
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
Read More
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
Read More
NOTICE TO GPB CAPITAL INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims on Behalf of Investors Who Purchased GPB Capital Through Advisors of TD AMERITRADE ADVISORDIRECT® Referral Program
August 17, 2021
Read More
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
Read More
GPB CAPITAL TD AMERITRADE INVESTOR ALERT: KlaymanToskes Continues to Investigate TD Ameritrade’s ADVISORDIRECT® Referral Program for GPB Capital Investment Losses
August 10, 2021
Read More
ATTENTION FELIX CHU NYLIFE SECURITIES CUSTOMERS: KlaymanToskes Announces Investigation of Former California-Based NYLife Securities Broker
August 09, 2021
Read More
Invest in Energy 11 LP, Energy 12 LP, or Spirit of America Fund with David Lerner Associates? KlaymanToskes Continues Investigation
July 26, 2021
Read More
VXX Investor Through UBS? KlaymanToskes Investigates Firm’s VXX Sales Practices in Light of Recent SEC Settled Action
July 20, 2021
Read More
Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint
July 19, 2021
Read More
Securities America Advisors Fined Regarding Supervisory Failures and Ex-Broker Hector May
July 16, 2021
Read More
FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts
July 06, 2021
Read More
FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts
July 06, 2021
Read More
NOTICE TO CLIENTS OF KEVIN MCCALLUM WITH LPL FINANCIAL: KlaymanToskes Commences Investigation of Former LPL Broker Kevin McCallum in Light of FINRA Suspension
July 05, 2021
Read More
FINRA Orders Historic Financial Penalty Against Robinhood Financial LLC for Systemic Supervisory Failures
July 01, 2021
Read More
FINRA Fines Independent Financial Group $200,000 for Failure to Supervise Alternative Investment Recommendations
June 30, 2021
Read More
Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines
June 26, 2021
Read More
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
Read More
NORTHSTAR FINANCIAL SERVICES (Bermuda) INVESTMENT RECOVERY: KlaymanToskes Investigates Investor Losses
June 21, 2021
Read More
Former LPL Financial Advisor Paul McGonigle Investigation
June 15, 2021
Read More
LORDSTOWN MOTORS CORP CLASS ACTION ALERT: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Truck Manufacturer
March 22, 2021
Read More
FINRA Fines VALIC Financial Advisors $350,000 for Failure to Supervise Variable Annuity Sales Practices
March 19, 2021
Read More
FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts
February 26, 2021
Read More
FINRA Suspends Madison Avenue Securities Broker for Mutual Fund Sales Practice Violations
February 11, 2021
Read More
Stanford Law School Cornerstone Research Report Released with New Developments for IPOs and SPACs
February 05, 2021
Read More
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
Read More
KlaymanToskes Investigates JP Morgan in Light of OCC $250 Million Civil Money Penalty Against JP Morgan Chase Bank, N.A. for Inadequate Supervision of Investment Advisory Business
December 03, 2020
Read More
Search
Categories
Aegis Capital Corp.
Alternative Investments
Annuities
Asset Allocation
Bankruptcy
Bonds
Broker Misconduct
Business Development Companies
Cetera Advisors
Class Action vs Arbitration
Closed-End Funds
Conflicts of Interest
Coronavirus
Crypto Fraud
Elder Financial Fraud
Excessive Trading
Exchange Traded Funds
Failure to Supervise
Featured Cases
Featured Investigations
FINRA Disciplinary Actions
FINRA Sales Practice Violations
Fraud
GPB Capital Holdings
GWG L Bonds
Hedge Funds
Horizon Private Equity Fund III
Investment Fraud
LaeRoc Funds
Margin Loans
Market-Linked Notes
Master Limited Partnership
Mutual Fund Sales Practive Violations
Non-Traded REITs
Non-Traded Securities
Oil & Gas Investments
Options
Ponzi Scheme
Ponzi-Like Schemes
Private Placement Investments
Private Placements
private securities transactions
Promissory Notes
Puerto Rico Bond Funds
Registered Investment Advisor
Regulator Disciplinary Actions
SEC Disciplinary Actions
Securities Arbitration
Securities Arbitration News
Securities Concentration
Securities Employment Disputes
SPACs
Spartan Capital Securities
Startups
Structured Securities Products
Suitability
Terminated-Discharged Brokers
Uncategorized
Variable Annuities
Variable Annuity Products
Variable Annuity Replacement
...view more categories
Recent Blogs
Broker Misconduct Investigation: Gus Tsamos (Spartan Capital Securities)
December 12, 2024
LifeMark Securities Censured by SEC for Selling Risky GWG L Bonds
December 14, 2024
Ex-Edward Jones Broker Penalized for Reg BI Violation
December 13, 2024
Contact Us to Recover Your Investment Losses
Contact Form
Name
(Required)
Phone
(Required)
Email
(Required)
Message
(Required)
CAPTCHA
Email
This field is for validation purposes and should be left unchanged.
Follow Us
