FINRA Sales Practice Violations Archives - Page 2 of 7 - KlaymanToskes

Category: FINRA Sales Practice Violations

Merrill Lynch Faces Lawsuit Over Alleged Misrepresentation of Variable Annuity to Retired Customer

March 08, 2024

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Investment Losses in Crypto Assets Due to Unsuitable Recommendations by Your Broker/Advisor? Contact KlaymanToskes

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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CJ Scoffone of Creative Financial Group: Customer Complaint Filed

September 01, 2023

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Michael McKnight of MML Investors Services: Customer Complaint

September 01, 2023

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David Geake Barred by FINRA for Private Securities Transaction

July 14, 2023

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Jonathan Way of Wedbush Securities Barred by FINRA

July 06, 2023

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John Nguyen of FIT Strategic Advisors to Pay Nearly $1M

June 05, 2023

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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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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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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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