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Category: Regulator Disciplinary Actions

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

  • February 23, 2022
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Former UBS Financial Advisor German Nino Accused of Stealing $5.8M from Client

  • January 27, 2022
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Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

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

  • October 07, 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 WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker

  • August 04, 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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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

  • December 03, 2020
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Another Investor Lawsuit Filed Over Puerto Rico Bonds

  • January 17, 2017
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