SEC Disciplinary Actions Archives

Mike Hamilton of Hamilton Wealth: Investigated by the SEC

October 03, 2023

Ron Filoramo Barred by FINRA and Charged by the SEC

September 29, 2023

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

August 10, 2023

Clarice Saw of Cetera: $2.4M Elder Fraud Charge

August 01, 2023

Merrill Lynch to Pay the SEC and FINRA $12M in Suspicious Activity Reporting Failures

July 14, 2023

Par Funding Losses with Vincent Camrada or James McArthur?

July 07, 2023

Douglas McKelvey of Morgan Stanley Charged with Elder Fraud

June 12, 2023

SEC Sanctions Scott Trease and Sapere Wealth Management in NC Investment Scheme

April 01, 2023

A.G. Morgan Advisors Customers: Owner Vincent Camarda & CCO James McArthur’s $75M Fraud

March 23, 2023

Attention Sean Kane and Kevin Kane Customers: SEC Files Fraud Charges

March 16, 2023

Notice to Silver Edge Financial Investors: Brokers Daniel J. Mackle and Dave Nicolas Barred by the SEC

March 09, 2023

Centaurus Financial Fined Over $1 Million by SEC for Unsuitable Structured Products

February 10, 2023

SEC Charges Joshua W. Coleman With $200 Million Loan Fraud

February 09, 2023

Western International Securities GWG L Bond Alert

June 22, 2022

Shawn Good Morgan Stanley Investor Update: Morgan Stanley Hit with $2M Investor Complaint

June 09, 2022

Ken Welsh Wells Fargo Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Fairfield, NJ Financial Advisor

November 02, 2021

ATTENTION CURRENT AND FORMER OPPENHEIMER CUSTOMERS WHO INVESTED IN HORIZON PRIVATE EQUITY III: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of Potential Claims on Behalf of Oppenheimer Customers Over Ponzi Scheme Losses

September 02, 2021

Securities America Advisors Fined Regarding Supervisory Failures and Ex-Broker Hector May

July 16, 2021

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

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

February 26, 2021

SEC Charges Broker-Dealers and Investment Advisory Firms for the Sales of Complex Exchange-Traded Products With More than $3 Million Returned to Retail Investors

November 13, 2020

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

SEC Bars LPL Financial advisor, Paul Lebel for Churning Client Mutual Fund Investments

October 24, 2016

Notice to All United Development Funding IV Investors with Losses in Excess of $250,000 from the Securities Arbitration Law Firm of KlaymanToskes

March 02, 2016

Category: SEC Disciplinary Actions

Mike Hamilton of Hamilton Wealth: Investigated by the SEC

Ron Filoramo Barred by FINRA and Charged by the SEC

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

Clarice Saw of Cetera: $2.4M Elder Fraud Charge

Merrill Lynch to Pay the SEC and FINRA $12M in Suspicious Activity Reporting Failures

Par Funding Losses with Vincent Camrada or James McArthur?

Douglas McKelvey of Morgan Stanley Charged with Elder Fraud

SEC Sanctions Scott Trease and Sapere Wealth Management in NC Investment Scheme

A.G. Morgan Advisors Customers: Owner Vincent Camarda & CCO James McArthur’s $75M Fraud

Attention Sean Kane and Kevin Kane Customers: SEC Files Fraud Charges

Notice to Silver Edge Financial Investors: Brokers Daniel J. Mackle and Dave Nicolas Barred by the SEC

Centaurus Financial Fined Over $1 Million by SEC for Unsuitable Structured Products

SEC Charges Joshua W. Coleman With $200 Million Loan Fraud

Western International Securities GWG L Bond Alert

Shawn Good Morgan Stanley Investor Update: Morgan Stanley Hit with $2M Investor Complaint

Ken Welsh Wells Fargo Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Fairfield, NJ Financial Advisor

ATTENTION CURRENT AND FORMER OPPENHEIMER CUSTOMERS WHO INVESTED IN HORIZON PRIVATE EQUITY III: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of Potential Claims on Behalf of Oppenheimer Customers Over Ponzi Scheme Losses

Securities America Advisors Fined Regarding Supervisory Failures and Ex-Broker Hector May

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

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

SEC Charges Broker-Dealers and Investment Advisory Firms for the Sales of Complex Exchange-Traded Products With More than $3 Million Returned to Retail Investors

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

SEC Bars LPL Financial advisor, Paul Lebel for Churning Client Mutual Fund Investments

Notice to All United Development Funding IV Investors with Losses in Excess of $250,000 from the Securities Arbitration Law Firm of KlaymanToskes

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