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Category:
FINRA Disciplinary Actions
Merrill Lynch Fined $3 Million for Trade-Monitoring Failures
September 04, 2024
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United Planners Ordered to Pay Over $1M in Broker Fraud Case
July 30, 2024
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Western International To Pay $1.5M for Failing to Detect Churning in Customer Accounts
July 29, 2024
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UBS Fined $850K by FINRA: Uncovering a Decade of Compliance Failures and Misconduct
July 10, 2024
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Notice to Customers of Suspended Broker Daniel Snodgrass: Contact KlaymanToskes Immediately
February 02, 2024
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Rockefeller Financial Faces $100k Regulatory Fine for Disclosure Lapse
January 24, 2024
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INVESTOR ALERT: National Investment Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt
November 04, 2023
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Jorge Baquero of Spartan Capital Suspended by FINRA
October 04, 2023
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Ron Filoramo Barred by FINRA and Charged by the SEC
September 29, 2023
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Adam Anderson of Ameriprise Financial Suspended by FINRA
September 26, 2023
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Vincent Pucciarelli of Investment Network Barred by FINRA
September 26, 2023
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William Ard of Morgan Stanley Suspended by FINRA
September 26, 2023
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Pierre Hilario of Tranquillum Capital Barred by FINRA
September 25, 2023
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Jeffrey Kirkpatrick of LPL Financial Suspended by FINRA
September 25, 2023
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Les Jackson of Momentum Barred for Private Securities Transactions
September 22, 2023
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Richard Matheis of Union Capital Barred by FINRA
September 15, 2023
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Charles Shields of Wells Fargo Suspended by FINRA
September 14, 2023
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Kevin Cory of R.F. Lafferty & Co. Barred by FINRA
September 12, 2023
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Kevin Carroll of Gateway Financial Partners Suspended by FINRA
September 06, 2023
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Khai Quach of Transamerica Barred for Borrowed Client Funds
August 22, 2023
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Scott Norvell of Brokers International: FINRA Investigation
August 21, 2023
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Goldman Sachs OTC Options Losses? Contact KlaymanToskes
August 21, 2023
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Wall Street Firms’ Off-Channel Communication Fines Up to $2.5B
August 10, 2023
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Brad Wastler of LPL Financial Suspended by FINRA
August 08, 2023
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Greg Collins of LPL Financial Suspended by FINRA
July 27, 2023
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John Jacobsen of Wealth Financial Partners/Morgan Stanley Barred by FINRA
July 25, 2023
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Robert Gerstein of Merrill Lynch Suspended by FINRA
July 21, 2023
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Daniel M. King Suspended for Unsuitable Margin Trading
July 20, 2023
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Murat Kartal of Spartan Capital Suspended for Excessive Trading
July 20, 2023
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Recovery Options for Webull Customers: Contact KlaymanToskes
July 17, 2023
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David Geake Barred by FINRA for Private Securities Transaction
July 14, 2023
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Helen Caldwell of Citigroup/Wells Fargo Barred by FINRA
July 14, 2023
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Merrill Lynch to Pay the SEC and FINRA $12M in Suspicious Activity Reporting Failures
July 14, 2023
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Brad Jacobson of Wells Fargo Barred by FINRA
July 07, 2023
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Jonathan Way of Wedbush Securities Barred by FINRA
July 06, 2023
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Webull Customers: Options Losses? Contact KlaymanToskes
June 29, 2023
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Investment Losses with Jeff Geraci/Mission Critical FPI?
June 29, 2023
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Joseph Todd of Centaurus Financial Suspended by FINRA
June 26, 2023
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Abbe Wollins of David Lerner Associates Suspended by FINRA
June 23, 2023
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Richard Spettell of Morgan Stanley/Ameriprise Suspended
June 21, 2023
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Michelle Wu of Principal Securities Suspended by FINRA
June 20, 2023
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Thomas Vernor of LPL Financial Suspended by FINRA
June 20, 2023
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Colin Healy of Hightower Securities Suspended by FINRA
June 20, 2023
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Brody Bray of American Portfolios Suspended by FINRA
June 20, 2023
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Andrew Komarow of LPL Financial/Royal Alliance Barred by FINRA
June 20, 2023
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D. Wray Rodgers of Vining-Sparks/ICBA Securities Barred by FINRA
June 14, 2023
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Jermaine Benjamin of Raymond James/Pruco Barred by FINRA
June 14, 2023
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Sharon Hayut of Morgan Stanley/Magnus Financial Suspended by FINRA
June 13, 2023
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Losses with Greg McCloskey? Contact KlaymanToskes
June 13, 2023
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Jeffrey Cohen of Moloney Securities Barred by FINRA
June 12, 2023
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John Francis Carroll of Vanderbilt Securities Suspended by FINRA
June 05, 2023
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John Nguyen of FIT Strategic Advisors to Pay Nearly $1M
June 05, 2023
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Fidelity Ordered to Pay $4M for Violating Customer’s Options Contract
June 05, 2023
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Brian Reilly of Equity Services/MML Suspended By FINRA
June 05, 2023
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Michael Raineri of Raineri Financial Barred by FINRA
June 05, 2023
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Rhett Bedwell Customers: LPL Financial Investment Losses? Contact KlaymanToskes
June 05, 2023
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Investment Losses with Morgan Stanley in Florham Park, NJ? Contact KlaymanToskes
June 02, 2023
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DAVID LERNER CUSTOMER ALERT: WHITE PLAINS, NY BRANCH
June 02, 2023
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DAVID LERNER CUSTOMER ALERT: SYOSSET, NY BRANCH
June 02, 2023
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DLA INVESTOR ALERT (TEANECK, NJ & LAWRENCEVILLE, NJ)
June 01, 2023
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Chris Carpenter of LPL Financial Barred by FINRA
May 23, 2023
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SW Financial Investment Losses? FINRA Expels Salomon Whitney Financial For Violations of Securities Rules
May 22, 2023
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CEO Michael Cheng Ning of Arque Capital Suspended
May 11, 2023
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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
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Broker David J. Morris of Stifel, Nicolaus & Co. Suspended by Regulators
April 26, 2023
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Brokers/Advisors Suspended and Barred by FINRA – March 2023
April 26, 2023
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Webull Customers With Limited Options Experience May Recover Losses
April 26, 2023
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Attention SHREVEPORT, LA Investors: Losses with Barred Broker James Lyons?
April 20, 2023
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Broker/Supervisor Derek J. Rehill Suspended by Financial Industry Regulators
March 31, 2023
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Theft Alert: Barred Broker Miche D. Jean of Morgan Stanley Investigated for Theft of Customer Funds
March 21, 2023
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Attention Webull Financial Customers: $3 Million Options-Related Fine
March 16, 2023
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Former Fidelity Broker/Advisor Eric J. Stone Barred by FINRA
March 16, 2023
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Archie Blood Jr. Suspended by FINRA for $400K in Private Securities Transactions
March 16, 2023
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Broker/Advisor Blake Wayne Eskew Permanently Barred by Financial Industry Regulators
March 10, 2023
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KlaymanToskes Investigates Financial Professionals Suspended by FINRA in 2023
March 03, 2023
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Broker Antoine Souma Barred by FINRA
February 22, 2023
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Long Island Financial Group Fined for SEC Regulation Best Interest Violations
February 17, 2023
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Chuanbing Rong Suspended By FINRA
February 10, 2023
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Suzanne Charrin Barred From Securities Industry
February 09, 2023
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Ahmed Gheith Suspended By FINRA For Alleged Securities Violations
February 09, 2023
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Sean Boswick of Brock Securities Barred From Securities Industry
February 08, 2023
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Wedbush Securities Customers: Your Account Statements May Have Been Falsified
November 18, 2022
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Ernest Frerking Terminated: KlaymanToskes Investigates Violations While at Merrill Lynch
August 06, 2022
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FINRA Sanctions Former Financial Advisor Richard Hogan Over Selling Away Transactions
July 28, 2022
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Arizona Broker Janie Garza-Clark Barred by FINRA
May 11, 2022
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Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft
February 23, 2022
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Recover Darryl Cohen Morgan Stanley Investment Losses
February 14, 2022
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Former Hilltop Securities Broker Dennis Ayre Barred from Securities Industry
February 09, 2022
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Recover JDN Capital Josh Nicholas Misappropriation Investment Losses
January 28, 2022
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Aegis Capital’s Joseph LaScala Excessively Traded Customer Account
January 25, 2022
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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
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FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts
January 20, 2022
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Joel Kichline Sanctioned for Unauthorized Trading at Raymond James
January 17, 2022
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Recover John LoPinto Worden Capital Investment Losses
January 14, 2022
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Wells Fargo Unit Investment Trust Failure to Supervise Early Rollovers, Settles with FINRA
January 07, 2022
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(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges
January 05, 2022
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Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million
January 01, 2022
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Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA
December 02, 2021
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Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading
November 30, 2021
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Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading
November 29, 2021
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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
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DAVID MELILLI INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor David Melilli
November 12, 2021
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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
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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
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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
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EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation
October 18, 2021
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Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading
October 12, 2021
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Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading
October 11, 2021
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ATTENTION Eric Hollifield Hamilton Investment Counsel Customers: Dacula, Georgia Investment Advisor Accused of Misappropriating $1.24M of Client Funds
October 08, 2021
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Jeffrey Dampf PFS Investments, Inc. Investor Alert: FINRA Bars PFS Investments, Inc. Broker
October 07, 2021
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John Kevin Barrett Emerson Equity Investor Alert: FINRA Bars Ex-Emerson Equity Broker
October 05, 2021
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Jeffrey Warren Oppenheimer & Co. Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Florida Financial Advisor in Light of Securities Bar
October 01, 2021
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David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds
September 28, 2021
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ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations
September 16, 2021
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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
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ATTENTION FELIX CHU NYLIFE SECURITIES CUSTOMERS: KlaymanToskes Announces Investigation of Former California-Based NYLife Securities Broker
August 09, 2021
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ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker
August 04, 2021
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Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation
July 21, 2021
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VXX Investor Through UBS? KlaymanToskes Investigates Firm’s VXX Sales Practices in Light of Recent SEC Settled Action
July 20, 2021
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Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint
July 19, 2021
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FINRA Bars Former Wells Fargo Broker Tyler Rigsbee
July 13, 2021
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FINRA Orders Sanctuary Securities, Inc. to Pay $530K for Non-Traditional ETF Supervisory Failures
July 07, 2021
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FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts
July 06, 2021
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FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts
July 06, 2021
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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
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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
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FINRA Orders Historic Financial Penalty Against Robinhood Financial LLC for Systemic Supervisory Failures
July 01, 2021
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FINRA Fines Independent Financial Group $200,000 for Failure to Supervise Alternative Investment Recommendations
June 30, 2021
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Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines
June 26, 2021
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NORTHSTAR FINANCIAL SERVICES (Bermuda) INVESTMENT RECOVERY: KlaymanToskes Investigates Investor Losses
June 21, 2021
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Former LPL Financial Advisor Paul McGonigle Investigation
June 15, 2021
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FINRA Fines VALIC Financial Advisors $350,000 for Failure to Supervise Variable Annuity Sales Practices
March 19, 2021
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FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts
February 26, 2021
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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
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FINRA Barred, NPB Financial Group Ex-Broker, Cynthia Diane Cowden for Unsuitable Investment Recommendations in Illiquid Non-Traded Securities
October 30, 2020
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FINRA Fines Broker $219,000 for Private Placement Violations
November 14, 2016
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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
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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
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