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Category: FINRA Sales Practice Violations

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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Recover Darryl Cohen Morgan Stanley Investment Losses

  • February 14, 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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(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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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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RICHARD WESSELT INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt

  • 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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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 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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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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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
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ATTENTION SPAC INVESTORS: KlaymanToskes Investigates Losses in Excess of $250,000 from Investments in Electric Vehicle Industry Stocks Recommended by Full-Service Brokerage Firms

  • April 30, 2021
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BDC INVESTOR ALERT: KlaymanToskes Investigates Investor Losses in Response to Medley Capital Bankruptcy Filing Attributed to Portfolio Loan Losses Related to the COVID Pandemic

  • April 29, 2021
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BDC INVESTOR ALERT: Medley Capital Corp Files for Bankruptcy Protection in the Wake of Portfolio Loan Losses Attributed to the COVID Pandemic

  • April 05, 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 Suspends Madison Avenue Securities Broker for Mutual Fund Sales Practice Violations

  • February 11, 2021
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KlaymanToskes Investigates David Lerner Associates Recommended Investments in Proprietary Non-Traded Investments Concentrated in Energy Sector

  • November 17, 2020
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ATTENTION UPS EMPLOYEES WITH MERRILL LYNCH ACCOUNTS: KlaymanToskes Continues to Investigate Claims for UPS Employees with Losses from Unsuitable Covered Call Writing Strategies

  • August 14, 2020
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GPB CAPITAL INVESTOR ALERT: KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors

  • July 02, 2020
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FSKR INVESTOR ALERT: KlaymanToskes Investigates Full-Service Brokerage Firms for Unsuitable Investment Recommendations Regarding Franklin Square KKR Capital II Fund

  • June 26, 2020
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ATTENTION UPS EMPLOYEES WITH RAMPART ACCOUNTS AT MERRILL LYNCH: KlaymanToskes Continues to Investigate Claims for UPS Employees with Losses from Unsuitable Covered Call Writing Strategies

  • June 26, 2020
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ATTENTION GOLDMAN SACHS MLP AND ENERGY RENAISSANCE FUND (GER) INVESTORS – KlaymanToskes Continues Investigation on Behalf of GER Investors Who Sustained Losses in Excess of $250,000 as a Result of a Recommendation from their Financial Advisor

  • June 19, 2020
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ATTENTION UBS CUSTOMERS WITH YES ACCOUNT LOSSES: KlaymanToskes Continues to Investigate and Pursue Claims to Recover Investment Losses

  • June 19, 2020
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ATTENTION CURRENT AND FORMER UBS CUSTOMERS WITH YES ACCOUNT LOSSES: KlaymanToskes Continues to Investigate and Pursue Claims to Recover Investment Losses

  • April 28, 2020
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ATTENTION WELLS FARGO CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

  • April 24, 2020
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ATTENTION UBS CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

  • April 24, 2020
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ATTENTION MORGAN STANLEY CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

  • April 24, 2020
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ATTENTION MERRILL LYNCH CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

  • April 24, 2020
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ATTENTION INVESTORS AT FULL-SERVICE BROKERAGE FIRMS WITH FINANCIAL ADVISORS: FINRA Arbitration is the Best Means to Recovering Losses Suffered Due to Market Volatility Caused by COVID-19

  • April 21, 2020
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ATTENTION GOLDMAN SACHS MLP AND ENERGY RENAISSANCE FUND (GER) INVESTORS – KlaymanToskes commences investigation on behalf of GER Investors Who Sustained Losses in Excess of $250,000 as a Result of a Recommendation from their Financial Advisor

  • April 21, 2020
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Recover Investment Losses Sustained in Coronavirus (COVID-19) Pandemic

  • April 16, 2020
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NOTICE TO GPB CAPITAL HOLDINGS INVESTORS: KlaymanToskes Files FINRA Arbitration Claim seeking $1,000,000.00 on Behalf of Investors Who Sustained Losses on GPB Notes

  • May 11, 2019
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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
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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
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NOTICE TO MORGAN STANLEY CLIENTS: KlaymanToskes Announces Investigation of Morgan Stanley Following $8 Million in SEC Fines for Exchange Traded Fund Violations

  • February 21, 2017
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Another Investor Lawsuit Filed Over Puerto Rico Bonds

  • January 17, 2017
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KlaymanToskes Wins $2.25 Million FINRA Arbitration Award in Favor of Retired UPS Executive With Concentrated Stock Position Against Citigroup Global Markets

  • February 10, 2016
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The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Sales Practices Related to UBS ETRACS ETNs

  • January 20, 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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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims of Customer Losses from Concentrated UPS Stock Positions Managed in Merrill Lynch’s Rampart Options Management Service (ROMS) Program

  • September 18, 2015
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LPL Financial LLC Ordered To Pay Restitution To Investors and Fines To FINRA for Failure To Supervise Sale of Non-Traded REITs, Variable Annuities and Exchange Traded Funds

  • May 08, 2015
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What Legal Recourse Exists For Hedge Fund Investors In BlackGold Opportunity Fund LP?

  • April 10, 2015
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Recent IBM Class Action Lawsuit Provides Investors Loss Recovery Options

  • March 27, 2015
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INVESTOR ALERT: KlaymanToskes Notifies UPS Employees Who Sustained Losses Due To Maintaining a Concentrated, Leveraged Position In UPS Stock During 2008-2009 That Time Still Remains To Recover Your Losses Through Securities Arbitration

  • May 15, 2014
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UBS-Lehman Class Action Opt-Out

  • September 30, 2013
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LaeRoc Income Funds

  • April 29, 2012
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