Regulator Disciplinary Actions Archives

Sound Point Capital Management Under SEC Investigation for CLO Trading Practices

July 18, 2024

INVESTOR ALERT: National Investment Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt

November 04, 2023

Wall Street Firms’ Off-Channel Communication Fines Up to $2.5B

August 10, 2023

Did Arkadios Capital Broker Marc Korsch Cause You Investment Losses? Contact KlaymanToskes

April 25, 2023

Did Marc F. Korsch Cause You Investment Losses at Arkadios Capital or Centaurus Financial? Contact KlaymanToskes at 888-997-9956.

Barred Broker Paul R. McGonigle Pleads Guilty to $1.4M Elder Fraud

March 31, 2023

Ex-LPL Broker Kenwyn Belkot Permanently Barred by Financial Industry Regulators

March 31, 2023

Edric McSween Ameriprise Financial Services Investment Losses?

June 01, 2022

Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft

February 23, 2022

Former UBS Financial Advisor German Nino Accused of Stealing $5.8M from Client

January 27, 2022

Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

January 25, 2022

FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

January 20, 2022

Joel Kichline Sanctioned for Unauthorized Trading at Raymond James

January 17, 2022

(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges

January 05, 2022

Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million

January 01, 2022

Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA

December 02, 2021

Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

November 30, 2021

Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

November 29, 2021

SwapStar Capital Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates New Jersey Investment Advisor Fraud in Light of SEC, CFTC Charges

November 18, 2021

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

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

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

EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation

October 18, 2021

Jeffrey Dampf PFS Investments, Inc. Investor Alert: FINRA Bars PFS Investments, Inc. Broker

October 07, 2021

David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds

September 28, 2021

ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker

August 04, 2021

FINRA Orders Sanctuary Securities, Inc. to Pay $530K for Non-Traditional ETF Supervisory Failures

July 07, 2021

FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts

July 06, 2021

FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts

July 06, 2021

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

Category: Regulator Disciplinary Actions

Sound Point Capital Management Under SEC Investigation for CLO Trading Practices

INVESTOR ALERT: National Investment Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt

Wall Street Firms’ Off-Channel Communication Fines Up to $2.5B

Did Arkadios Capital Broker Marc Korsch Cause You Investment Losses? Contact KlaymanToskes

Barred Broker Paul R. McGonigle Pleads Guilty to $1.4M Elder Fraud

Ex-LPL Broker Kenwyn Belkot Permanently Barred by Financial Industry Regulators

Edric McSween Ameriprise Financial Services Investment Losses?

Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft

Former UBS Financial Advisor German Nino Accused of Stealing $5.8M from Client

Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

Joel Kichline Sanctioned for Unauthorized Trading at Raymond James

(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges

Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million

Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA

Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

SwapStar Capital Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates New Jersey Investment Advisor Fraud in Light of SEC, CFTC Charges

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

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

JEFFREY DROST RAYMOND JAMES INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Raymond James Broker in Light of Potential Unauthorized Borrowing Allegations

EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation

Jeffrey Dampf PFS Investments, Inc. Investor Alert: FINRA Bars PFS Investments, Inc. Broker

David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds

ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker

FINRA Orders Sanctuary Securities, Inc. to Pay $530K for Non-Traditional ETF Supervisory Failures

FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts

FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts

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

Another Investor Lawsuit Filed Over Puerto Rico Bonds

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