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:
FINRA Disciplinary Actions
Morgan Stanley Fined $15 Million for Failing to Detect Broker Fraud
December 13, 2024
Read More
Merrill Lynch Fined $3 Million for Trade-Monitoring Failures
September 04, 2024
Read More
United Planners Ordered to Pay Over $1M in Broker Fraud Case
July 30, 2024
Read More
Western International To Pay $1.5M for Failing to Detect Churning in Customer Accounts
July 29, 2024
Read More
UBS Fined $850K by FINRA: Uncovering a Decade of Compliance Failures and Misconduct
July 10, 2024
Read More
Notice to Customers of Suspended Broker Daniel Snodgrass: Contact KlaymanToskes Immediately
February 02, 2024
Read More
Rockefeller Financial Faces $100k Regulatory Fine for Disclosure Lapse
January 24, 2024
Read More
INVESTOR ALERT: National Investment Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt
November 04, 2023
Read More
Jorge Baquero of Spartan Capital Suspended by FINRA
October 04, 2023
Read More
Ron Filoramo Barred by FINRA and Charged by the SEC
September 29, 2023
Read More
Adam Anderson of Ameriprise Financial Suspended by FINRA
September 26, 2023
Read More
Vincent Pucciarelli of Investment Network Barred by FINRA
September 26, 2023
Read More
William Ard of Morgan Stanley Suspended by FINRA
September 26, 2023
Read More
Pierre Hilario of Tranquillum Capital Barred by FINRA
September 25, 2023
Read More
Jeffrey Kirkpatrick of LPL Financial Suspended by FINRA
September 25, 2023
Read More
Les Jackson of Momentum Barred for Private Securities Transactions
September 22, 2023
Read More
Richard Matheis of Union Capital Barred by FINRA
September 15, 2023
Read More
Charles Shields of Wells Fargo Suspended by FINRA
September 14, 2023
Read More
Kevin Cory of R.F. Lafferty & Co. Barred by FINRA
September 12, 2023
Read More
Kevin Carroll of Gateway Financial Partners Suspended by FINRA
September 06, 2023
Read More
Khai Quach of Transamerica Barred for Borrowed Client Funds
August 22, 2023
Read More
Scott Norvell of Brokers International: FINRA Investigation
August 21, 2023
Read More
Goldman Sachs OTC Options Losses? Contact KlaymanToskes
August 21, 2023
Read More
Wall Street Firms’ Off-Channel Communication Fines Up to $2.5B
August 10, 2023
Read More
Brad Wastler of LPL Financial Suspended by FINRA
August 08, 2023
Read More
Greg Collins of LPL Financial Suspended by FINRA
July 27, 2023
Read More
John Jacobsen of Wealth Financial Partners/Morgan Stanley Barred by FINRA
July 25, 2023
Read More
Robert Gerstein of Merrill Lynch Suspended by FINRA
July 21, 2023
Read More
Daniel M. King Suspended for Unsuitable Margin Trading
July 20, 2023
Read More
Murat Kartal of Spartan Capital Suspended for Excessive Trading
July 20, 2023
Read More
David Geake Barred by FINRA for Private Securities Transaction
July 14, 2023
Read More
Helen Caldwell of Citigroup/Wells Fargo Barred by FINRA
July 14, 2023
Read More
Merrill Lynch to Pay the SEC and FINRA $12M in Suspicious Activity Reporting Failures
July 14, 2023
Read More
Brad Jacobson of Wells Fargo Barred by FINRA
July 07, 2023
Read More
Jonathan Way of Wedbush Securities Barred by FINRA
July 06, 2023
Read More
Investment Losses with Jeff Geraci/Mission Critical FPI?
June 29, 2023
Read More
Joseph Todd of Centaurus Financial Suspended by FINRA
June 26, 2023
Read More
Abbe Wollins of David Lerner Associates Suspended by FINRA
June 23, 2023
Read More
Richard Spettell of Morgan Stanley/Ameriprise Suspended
June 21, 2023
Read More
Michelle Wu of Principal Securities Suspended by FINRA
June 20, 2023
Read More
Thomas Vernor of LPL Financial Suspended by FINRA
June 20, 2023
Read More
Colin Healy of Hightower Securities Suspended by FINRA
June 20, 2023
Read More
Brody Bray of American Portfolios Suspended by FINRA
June 20, 2023
Read More
Andrew Komarow of LPL Financial/Royal Alliance Barred by FINRA
June 20, 2023
Read More
D. Wray Rodgers of Vining-Sparks/ICBA Securities Barred by FINRA
June 14, 2023
Read More
Jermaine Benjamin of Raymond James/Pruco Barred by FINRA
June 14, 2023
Read More
Losses with Greg McCloskey? Contact KlaymanToskes
June 13, 2023
Read More
Jeffrey Cohen of Moloney Securities Barred by FINRA
June 12, 2023
Read More
John Francis Carroll of Vanderbilt Securities Suspended by FINRA
June 05, 2023
Read More
John Nguyen of FIT Strategic Advisors to Pay Nearly $1M
June 05, 2023
Read More
Fidelity Ordered to Pay $4M for Violating Customer’s Options Contract
June 05, 2023
Read More
Brian Reilly of Equity Services/MML Suspended By FINRA
June 05, 2023
Read More
Michael Raineri of Raineri Financial Barred by FINRA
June 05, 2023
Read More
Rhett Bedwell Customers: LPL Financial Investment Losses? Contact KlaymanToskes
June 05, 2023
Read More
Investment Losses with Morgan Stanley in Florham Park, NJ? Contact KlaymanToskes
June 02, 2023
Read More
DAVID LERNER CUSTOMER ALERT: WHITE PLAINS, NY BRANCH
June 02, 2023
Read More
DAVID LERNER CUSTOMER ALERT: SYOSSET, NY BRANCH
June 02, 2023
Read More
DLA INVESTOR ALERT (TEANECK, NJ & LAWRENCEVILLE, NJ)
June 01, 2023
Read More
Chris Carpenter of LPL Financial Barred by FINRA
May 23, 2023
Read More
SW Financial Investment Losses? FINRA Expels Salomon Whitney Financial For Violations of Securities Rules
May 22, 2023
Read More
CEO Michael Cheng Ning of Arque Capital Suspended
May 11, 2023
Read More
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
Read More
Broker David J. Morris of Stifel, Nicolaus & Co. Suspended by Regulators
April 26, 2023
Read More
Brokers/Advisors Suspended and Barred by FINRA – March 2023
April 26, 2023
Read More
Webull Customers With Limited Options Experience May Recover Losses
April 26, 2023
Read More
Attention SHREVEPORT, LA Investors: Losses with Barred Broker James Lyons?
April 20, 2023
Read More
Broker/Supervisor Derek J. Rehill Suspended by Financial Industry Regulators
March 31, 2023
Read More
Theft Alert: Barred Broker Miche D. Jean of Morgan Stanley Investigated for Theft of Customer Funds
March 21, 2023
Read More
Attention Webull Financial Customers: $3 Million Options-Related Fine
March 16, 2023
Read More
Former Fidelity Broker/Advisor Eric J. Stone Barred by FINRA
March 16, 2023
Read More
Archie Blood Jr. Suspended by FINRA for $400K in Private Securities Transactions
March 16, 2023
Read More
Broker/Advisor Blake Wayne Eskew Permanently Barred by Financial Industry Regulators
March 10, 2023
Read More
KlaymanToskes Investigates Financial Professionals Suspended by FINRA in 2023
March 03, 2023
Read More
Broker Antoine Souma Barred by FINRA
February 22, 2023
Read More
Long Island Financial Group Fined for SEC Regulation Best Interest Violations
February 17, 2023
Read More
Chuanbing Rong Suspended By FINRA
February 10, 2023
Read More
Suzanne Charrin Barred From Securities Industry
February 09, 2023
Read More
Ahmed Gheith Suspended By FINRA For Alleged Securities Violations
February 09, 2023
Read More
Sean Boswick of Brock Securities Barred From Securities Industry
February 08, 2023
Read More
Wedbush Securities Customers: Your Account Statements May Have Been Falsified
November 18, 2022
Read More
Ernest Frerking Terminated: KlaymanToskes Investigates Violations While at Merrill Lynch
August 06, 2022
Read More
FINRA Sanctions Former Financial Advisor Richard Hogan Over Selling Away Transactions
July 28, 2022
Read More
Arizona Broker Janie Garza-Clark Barred by FINRA
May 11, 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 Hilltop Securities Broker Dennis Ayre Barred from Securities Industry
February 09, 2022
Read More
Recover JDN Capital Josh Nicholas Misappropriation Investment Losses
January 28, 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
Joel Kichline Sanctioned for Unauthorized Trading at Raymond James
January 17, 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
Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading
November 30, 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
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
DAVID MELILLI INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor David Melilli
November 12, 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
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
Read More
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
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
John Kevin Barrett Emerson Equity Investor Alert: FINRA Bars Ex-Emerson Equity Broker
October 05, 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
David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds
September 28, 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 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
Read More
ATTENTION FELIX CHU NYLIFE SECURITIES CUSTOMERS: KlaymanToskes Announces Investigation of Former California-Based NYLife Securities Broker
August 09, 2021
Read More
ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker
August 04, 2021
Read More
Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation
July 21, 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
FINRA Bars Former Wells Fargo Broker Tyler Rigsbee
July 13, 2021
Read More
FINRA Orders Sanctuary Securities, Inc. to Pay $530K for Non-Traditional ETF Supervisory Failures
July 07, 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
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
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
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
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 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
FINRA Barred, NPB Financial Group Ex-Broker, Cynthia Diane Cowden for Unsuitable Investment Recommendations in Illiquid Non-Traded Securities
October 30, 2020
Read More
FINRA Fines Broker $219,000 for Private Placement Violations
November 14, 2016
Read More
Notice to Clients of Andrew Yocum and Morgan Stanley: The Securities Arbitration Law Firm of KlaymanToskes has Commenced an Investigation in Light of Recent Regulatory Action Barring Andrew Yocum from Acting as a Broker
August 02, 2016
Read More
The Securities Arbitration Law Firms of KlaymanToskes and Carlo Law Offices Announce Investigation of Santander Securities, LLC on Behalf of Puerto Rico Investors for FINRA Sales Practice Violations
October 13, 2015
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
Stifel Ordered to Pay $133 Million Over Structured Note Strategy Misconduct
March 13, 2025
Independent Financial Group (IFG): Investor Alert on Account Churning
February 04, 2025
Centaurus Customers of Kelley Slaught & Michael Morando Who Purchased KBS/Pacific Oak REIT Should Contact KT Law Immediately
January 17, 2025
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
