Sound Point Capital Management Under SEC Investigation for CLO Trading Practices

• July 18, 2024

Cantor Fitzgerald Faces Legal Challenge: Investment Bankers Seek to Overturn $4M Arbitration Award

• November 30, 2023

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

• November 04, 2023

Citigroup SPAC Investment Losses? Contact KlaymanToskes

• August 28, 2023

Morgan Stanley, Goldman, UBS & Others Reach $499M Settlement

• August 24, 2023

Notice to EV SPAC Investors: Canoo Inc. Charged by the SEC

• August 14, 2023

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

• August 10, 2023

Credit Suisse SPAC Investment Losses? Contact KlaymanToskes

• August 04, 2023

Global Debt Crisis: Investors Seek Options in Uncertain Economy

• July 19, 2023

Patrick Thayer of Broadway Financial Solutions Charged with Fraud

• June 14, 2023

Douglas McKelvey of Morgan Stanley Charged with Elder Fraud

• June 12, 2023

Fidelity Ordered to Pay $4M for Violating Customer’s Options Contract

• June 05, 2023

Chris Carpenter of LPL Financial Barred by FINRA

• May 23, 2023

CEO Michael Cheng Ning of Arque Capital Suspended

• May 11, 2023

Japanese Investors Face ¥140 Billion ($1 Billion) Loss in Credit Suisse AT1 Bonds

• April 28, 2023

David Richard Geake Customers: KT Law Firm Pursues $500k Recovery for Unauthorized Investments

• April 25, 2023

National investment loss attorneys KlaymanToskes issues an important notice to customers of broker/investment advisor David Richard Geake who suffered investment losses at American Trust Investment Services in Chicago, IL. Affected investors should contact the firm immediately at 888-997-9956.

KlaymanToskes Files Claim Against BBVA and PNC: Customer Seeking Up to $5M Recovery

• April 25, 2023

KlaymanToskes Offers Recovery Options for BBVA and PNC Customers. Contact us today at 888-997-9956 for a free consultation.

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

• March 31, 2023

PRO-ATHLETES: Investment Losses or Fraud? Contact KlaymanToskes

• March 31, 2023

Oppenheimer & Co. Customer Awarded $1.4M for Horizon Private Equity III Fund Losses

• March 21, 2023

What is FINRA Arbitration? KlaymanToskes Explains How The Dispute Resolution Forum Helps Investors Recover Losses

• March 16, 2023

FINRA Announces Targeted Exam Related to Crypto Communications 

• March 16, 2023

2023 Investor Update for Craig Thistlethwaite Customers: $4.2 Million Complaint Settled

• March 15, 2023

Notice to Hawaii Investors: KlaymanToskes Investigates Advisor Patrick Tantoco

• March 10, 2023

Notice to California Investors: Are You A Victim of Investment Fraud?

• March 08, 2023

SEC Approves New FINRA BrokerCheck Rule for High-Risk Firms 

• March 03, 2023

Northstar Financial Services (Bermuda) Investor Alert: Hearing Date Announced to Shareholders

• February 17, 2023

FINRA Sanctions Former Financial Advisor Richard Hogan Over Selling Away Transactions

• July 28, 2022

Adam Thomas Marquardt Terminated: KlaymanToskes Investigates Impropriety While at Wells Fargo

• July 27, 2022

KlaymanToskes Secures a Full Recovery in FINRA Arbitration Award

• May 20, 2022

Recover GWG L Bond Investment Losses Following GWG Bankruptcy

• April 27, 2022

Tony Barouti, Emerson Equity GWG L Bond Broker and CEO of Los Angeles-Based Barouti Financial Services, Facing Investor Complaints

• April 23, 2022

Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA

• March 14, 2022

Russian Stock Investment Losses Rattle Investors

• March 09, 2022

Michael Mandel Sanctioned For Selling Away Violations In A Tequila Business

• March 04, 2022

Infinity Q Funds Investor Alert: Massive Valuation Fraud Prompts Government Lawsuits

• February 25, 2022

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

• February 23, 2022

Recover Darryl Cohen Morgan Stanley Investment Losses

• February 14, 2022

Talkspace Investment Loss Recovery

• February 09, 2022

Former Hilltop Securities Broker Dennis Ayre Barred from Securities Industry

• February 09, 2022

Recover GWG Holdings L Bonds Investment Losses

• February 07, 2022

Recover JDN Capital Josh Nicholas Misappropriation Investment Losses

• January 28, 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

ATTENTION JAMES ALAN SEIJAS CUSTOMERS THAT INVESTED IN THE Q3 TRADING CLUB: National Investment Fraud Lawyers KlaymanToskes Investigates Former Wells Fargo Broker in Light of His Role in a Crypto Ponzi Scheme, Bar from Industry

• 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

Triad Advisors Loss Recovery for Supervisory Failures related to LJM Investors 80% Loss of Investment

• January 20, 2022

Petrobridge Fraud Causes Investor Losses

• January 19, 2022

Joel Kichline Sanctioned for Unauthorized Trading at Raymond James

• January 17, 2022

Recover John LoPinto Worden Capital Investment Losses

• January 14, 2022

Permian Basin Proppants Ponzi Investment Loss Recovery

• January 11, 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

ATTENTION KALOS CAPITAL GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

• November 22, 2021

ATTENTION GENEOS WEALTH MANAGEMENT GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

• November 19, 2021

ATTENTION FSC SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

• November 18, 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

ATTENTION CROWN CAPITAL SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

• November 17, 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

DAVID MELILLI INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor David Melilli

• November 12, 2021

GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation of Alleged Ponzi Scheme GPB Capital, Pursues Millions in Damages Against Brokerage Firms in FINRA Arbitration Claims for GPB Capital Investment Losses

• November 12, 2021

Thomas Brenner First American Securities Investor Alert: Barred Orrville, OH-Based Broker Facing Securities Fraud Charges

• November 09, 2021

TD AMERITRADE GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation Of and Files Claim Against TD Ameritrade Seeking in Excess of $500,000 on Behalf of Investor Who Purchased GPB Capital Through Advisor of TD AMERITRADE ADVISORDIRECT® Referral Program

• November 08, 2021

JIHYE KANG AXA ADVISORS INVESTMENT LOSSES? National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Broker in Light of Forgery Accusations, Securities Bar

• November 04, 2021

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

• November 02, 2021

SHILLIN WEALTH MANAGEMENT MICHAEL SHILLIN INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of Wisconsin Investment Advisor in Light of Pending SEC Action

• October 27, 2021

UNITED PLANNERS GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages United Planners Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

• October 25, 2021

SAGEPOINT GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

• October 25, 2021

FSC SECURITIES GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages FSC Securities Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

• October 22, 2021

SAGEPOINT FINANCIAL GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action

• October 21, 2021

Luke Johnson Coastal Investment Advisors Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Scottsdale, AZ Broker

• October 20, 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

EDGAR KLEYDMAN AXA ADVISORS INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Axa Advisors Broker In Light of Securities Bar

• October 14, 2021

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

• October 12, 2021

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

• October 11, 2021

ATTENTION Eric Hollifield Hamilton Investment Counsel Customers: Dacula, Georgia Investment Advisor Accused of Misappropriating $1.24M of Client Funds

• October 08, 2021

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

• October 07, 2021

John Kevin Barrett Emerson Equity Investor Alert: FINRA Bars Ex-Emerson Equity Broker

• October 05, 2021

Jeffrey Warren Oppenheimer & Co. Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Florida Financial Advisor in Light of Securities Bar

• October 01, 2021

GPB AUTOMOTIVE PORTFOLIO LP INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation of GPB Capital in Light of September 2021 Purchase Agreement

• September 30, 2021

ATTENTION MARTIN LERNER DAVID LERNER ASSOCIATES CUSTOMERS: National Investor Fraud Law Firm KlaymanToskes Investigates Broker in Light of $600,000 Energy 11 LP Customer Dispute

• September 30, 2021

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

• September 28, 2021

Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes

• September 22, 2021

ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations

• September 16, 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

ALAN BERGER TRIAD ADVISORS CUSTOMER ALERT: National Investor Fraud Firm KlaymanToskes Continues to Investigate on Behalf of GPB Capital Investors

• August 26, 2021

NOTICE TO GPB AUTOMOTIVE ARETE WEALTH INVESTORS: National Investor Fraud Firm KlaymanToskes Continues to Investigate on Behalf of GPB Capital Investors

• August 26, 2021

ATTENTION GPB AUTOMOTIVE AEGIS CAPITAL INVESTORS: National Investor Fraud Law Firm Continues to Investigate Claims on Behalf of GPB Capital Investors

• August 25, 2021

GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors

• August 24, 2021

SCOTT HANANEL AEGIS CAPITAL INVESTOR ALERT: Former Melville, NY Broker Facing Customer Disputes on Investment Losses

• August 23, 2021

NOTICE TO GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Over $1,000,000 for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors

• August 23, 2021

NOTICE TO HAENA PARK PHAETRA FUNDS INVESTORS: National Investor Fraud Law Firm KlaymanToskes Is Investigating Individual Securities Arbitration Claims in Excess of $100,000 in Light of the Recently Filed Class Action Complaint Against Interactive Brokers

• August 20, 2021

ATTENTION GPB CAPITAL ROYAL ALLIANCE INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Damages Up to $5,000,000 Against Royal Alliance for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors

• August 20, 2021

GPB Capital Investor? The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate, Pursue Claims Against Full-Service Brokerage Firms on Behalf of GPB Capital Investors

• August 18, 2021

NOTICE TO GPB CAPITAL INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims on Behalf of Investors Who Purchased GPB Capital Through Advisors of TD AMERITRADE ADVISORDIRECT® Referral Program

• August 17, 2021

ATTENTION THOMAS STRATTON WORLD CHOICE SECURITIES CUSTOMERS: FINRA BARS BROKER RELATING TO ITS INVESTIGATION OF POTENTIAL MISUSE OF CUSTOMER FUNDS

• August 13, 2021

ATTENTION CASEY KEMERLY EDWARD JONES CUSTOMERS: The Securities Arbitration Law Firm of KlaymanToskes Announces Investigation of Former Edward Jones Broker Barred by FINRA

• August 12, 2021

ATTENTION HJ SIMS BOCA RATON FL CUSTOMERS: KlaymanToskes Announces Investigation of HJ Sims’s Boca Raton, FL Branch in Light of the SEC’s Recent $250,000 Fine for Unsuitable Variable Interest Rate Structured Products Recommendations

• August 11, 2021

GPB CAPITAL TD AMERITRADE INVESTOR ALERT: KlaymanToskes Continues to Investigate TD Ameritrade’s ADVISORDIRECT® Referral Program for GPB Capital Investment Losses

• August 10, 2021

ATTENTION FELIX CHU NYLIFE SECURITIES CUSTOMERS: KlaymanToskes Announces Investigation of Former California-Based NYLife Securities Broker

• August 09, 2021

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

• August 04, 2021

Invest in Energy 11 LP, Energy 12 LP, or Spirit of America Fund with David Lerner Associates? KlaymanToskes Continues Investigation

• July 26, 2021

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

• July 21, 2021

VXX Investor Through UBS? KlaymanToskes Investigates Firm’s VXX Sales Practices in Light of Recent SEC Settled Action

• July 20, 2021

Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint

• July 19, 2021

FINRA Bars Former Wells Fargo Broker Tyler Rigsbee

• July 13, 2021

ATTENTION ROBINHOOD CUSTOMERS: KlaymanToskes Investigates January 2021 Trading Restrictions on Gamestop

• July 12, 2021

NOTICE TO ROBINHOOD FINANCIAL LLC INVESTORS – KlaymanToskes is Pursuing Arbitration Claims for Robinhood Trading Restrictions

• July 09, 2021

Joseph Chu, California Resources Corporation, Denbury Resources and Whiting Petroleum Investigation

• July 09, 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

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

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 Orders Historic Financial Penalty Against Robinhood Financial LLC for Systemic Supervisory Failures

• July 01, 2021

FINRA Fines Independent Financial Group $200,000 for Failure to Supervise Alternative Investment Recommendations

• June 30, 2021

Sigma Financial Corporation Facing $4.5M in Potential Damages in Customer Disputes

• June 28, 2021

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

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

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

LORDSTOWN MOTORS CORP CLASS ACTION ALERT: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Truck Manufacturer

• March 22, 2021

NOTICE TO WORKHORSE GROUP SHAREHOLDERS: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Company

• March 16, 2021

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

• February 26, 2021

FINRA Suspends Madison Avenue Securities Broker for Mutual Fund Sales Practice Violations

• February 11, 2021

Stanford Law School Cornerstone Research Report Released with New Developments for IPOs and SPACs

• February 05, 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

• December 03, 2020

KlaymanToskes Investigates David Lerner Associates Recommended Investments in Proprietary Non-Traded Investments Concentrated in Energy Sector

• November 17, 2020

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

FINRA Barred, NPB Financial Group Ex-Broker, Cynthia Diane Cowden for Unsuitable Investment Recommendations in Illiquid Non-Traded Securities

• October 30, 2020

ATTENTION MERRILL LYNCH CUSTOMERS WITH ACCOUNTS AT BOSTON BRANCHES: KlaymanToskes Commences Investigation for Potential Negligent Supervision of Financial Advisors and Customer Accounts

• July 20, 2020

NOTICE TO AG MORTGAGE INVESTMENT TRUST, INC. (MITT) INVESTORS – KlaymanToskes commences investigation on behalf of MITT Investors with Losses in Excess of $100,000 as a Result of a Recommendation from their Full-Service Brokerage Firm/Financial Advisor

• April 07, 2020

NOTICE TO INVESTORS WHO SUFFERED STOCK MARKET LOSSES DUE TO COVID-19: KlaymanToskes Commences Investigation into Damages Sustained by Investors who Held Large, Unhedged Concentrated Positions, Margin Accounts, Unsuitable Allocations, or were Excessively Traded

• March 24, 2020

NOTICE TO CLIENTS OF MUTUAL OF OMAHA INVESTOR SERVICES, INC. AND EDWARD EARL MATTHES: The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation in Light of FINRA Disciplinary Action

• May 17, 2019

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

Notice to Clients of Royal Alliance Associates and Matthew William Crafa: The Securities Arbitration Law Firm of KlaymanToskes is Preparing to File a FINRA Arbitration Claim on Behalf of Investors who Suffered Losses Due to Unsuitable Recommendations to Purchase GPB Notes

• February 01, 2019

GPB CAPITAL HOLDINGS INVESTOR ALERT – Notice to Investors who Purchased GPB Notes Through Brokerage Firms: KlaymanToskes Commences Investigation into the Sale of GPB Notes

• January 15, 2019

NOTICE TO CREDIT SUISSE BROKERS: The Securities Arbitration Law Firm of KlaymanToskes Continues Investigation into Deferred Compensation Claims

• November 09, 2018

NOTICE TO 1 GLOBAL CAPITAL LLC INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation after Bankruptcy Filing and SEC Charges

• September 14, 2018

NOTICE TO CLIENTS OF STEVEN PAGARTANIS: The Securities Arbitration Law Firm of KlaymanToskes has commenced an Investigation in Light of Charges of First-Degree and Second-Degree Grand Larceny

• June 02, 2018

KlaymanToskes to Bring Sexual Harassment Claims for FINRA Member Firm Employees

• April 12, 2018

The Law Firm of KlaymanToskes Issues an Important Notice to All Customers Who Have Purchased Vehicles or Serviced Vehicles at Ferrari-Maserati of Fort Lauderdale

• February 16, 2018

The Securities Arbitration Law Firm of KlaymanToskes Announces Expansion of Its Securities Litigation and Arbitration Practice to Include Sexual Harassment Claims Against FINRA Member Firms

• February 09, 2018

NOTICE TO GENERAL ELECTRIC COMPANY INVESTORS – The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into Damages Sustained by Investors who Held Large, Unhedged Concentrated Positions in GE Company Stock

• February 02, 2018

NOTICE TO WOODBRIDGE GROUP OF COMPANIES’ INVESTORS WHO LOST IN EXCESS OF $500,000 – KlaymanToskes Continues to Investigate Claims on Behalf of Investors Who Purchased Woodbridge Commercial Notes

• January 09, 2018

NOTICE TO WOODBRIDGE GROUP OF COMPANIES’ INVESTORS – The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation after Bankruptcy Filing

• December 08, 2017

Notice to Clients of Austin Richard Dutton Jr. and Newbridge Securities: The Securities Arbitration Law Firm of KlaymanToskes has commenced an Investigation in Light of Regulatory Fines of nearly $700,000.

• October 06, 2017

KlaymanToskes Comments on President Trump’s Executive Orders Targeting DOL Retirement Advice Rule and Dodd-Frank Wall Street Reform

• February 03, 2017

NOTICE TO UBS CLIENTS WHO PURCHASED REVERSE CONVERTIBLE NOTES: The Securities Law Firm of KlaymanToskes has Commenced an Investigation in the Wake of $15 Million SEC Settlement

• September 29, 2016

UPS EMPLOYEE/SHAREHOLDER ALERT: The Securities Arbitration Law Firm of KlaymanToskes Files $500,000 FINRA Arbitration Claim on Behalf of a UPS Employee for Losses Sustained as a result of Merrill Lynch’s Unsuitable Recommendation to Invest in Rampart Options Management Services Program

• August 26, 2016

BUSINESS DEVELOPMENT COMPANY (BDC) INVESTOR ALERT: The Securities Arbitration Law Firm of KlaymanToskes Opens Investigation into Potential Brokerage Firm Violations Related to Sale of Non-Traded Business Development Companies in Response to FINRA Targeted Examination Letter

• August 10, 2016

Potential Investment Fraud Victims Sought

• July 14, 2016

Notice to Merrill Lynch Customers Who Invested in Strategic Return Notes: Investigation Launched In Wake of SEC Probe

• June 22, 2016

Supreme Court Rejects Puerto Rico Debt Relief

• June 14, 2016

The Securities Arbitration Law Firm of KlaymanToskes Commences an Investigation into Oppenheimer’s Sales Practices Regarding Inverse and Inverse-Leveraged ETFs in Light of the $2.25 Million Fine Levied Against Oppenheimer by FINRA.

• June 08, 2016

INVESTOR ALERT: The Securities Arbitration Law Firm of KlaymanToskes Continues its Investigation and Files Claim on Behalf of UPS Employee for Losses Sustained from Unsuitable Covered Call Writing Strategy for a Concentrated Stock Position

• June 08, 2016

The Securities Arbitration Law Firm of KlaymanToskes Comments on Lawsuits filed in response to the Department of Labor’s Fiduciary Rule Amendment

• June 06, 2016

Puerto Rico Electric Power Authority restructuring risk spurs securities cases against brokerages, lawyer says

• November 06, 2014

Likely default of Puerto Rican utility haunts brokers, muni fund managers

• November 06, 2014

Heidi Marinka Wivolin – NEXT Financial Group

• November 06, 2014

Michael John Smeriglio, III – MetLife Securities

• November 05, 2014

Edward Stringer Samson – American Portfolios Financial Services

• November 04, 2014

David Phillip Morabito – Oppenheimer & Co.

• October 31, 2014

Steven R. Rosh – TransAmerica Financial Advisors

• October 31, 2014

Benjamin Doyle Maleche – JPMorgan Securities

• October 27, 2014

James “Jeb” Bashaw – LPL Financial

• October 14, 2014

Selling away claims behind LPL’s termination of James “Jeb” Bashaw

• October 14, 2014

Eric William Johnson – RedRidge Securities

• October 10, 2014

Glanmore Property Fund

• October 04, 2014

Joseph T. Pappalardo

• September 29, 2014

The Securities Arbitration Law Firm of KlaymanToskes Investigates Financial Network Investment Corporation (“FNIC”) n/k/a Cetera Advisor Networks, LLC in Connection With the Supervision of Former FNIC Advisor Joseph Thomas Pappalardo

• September 29, 2014

FINRA Issues New Investor Alert, Frontier Funds—Travel With Care

• September 16, 2014

Jeffrey Brian Meyer

• August 26, 2014

The Securities Arbitration Law Firm of KlaymanToskes Investigates Waddell & Reed and WRP Investments in Connection with the Supervision of Jeffrey Brian Meyer

• August 26, 2014

Matthew A. Bell

• July 19, 2014

The Securities Arbitration Law Firm of KlaymanToskes Investigates WFG Investments and Securities America Relating To The Supervision of Matthew A. Bell and The Sale of CodeSmart, Cubed, StarStream and The Staffing Group Stock

• July 19, 2014

The Securities Arbitration Law Firm of KlaymanToskes Files $175,000 Arbitration Claim Against NFP Securities To Recover Losses Sustained in Alternative Investments Including Hennessey Fund a/k/a Capital Solutions Monthly Income Fund

• June 02, 2014

Concentrate on Concentration Risk

• June 02, 2014

The Securities Arbitration Law Firm of KlaymanToskes Files $800,000 Arbitration Claim Against NFP Securities on Behalf of a 9/11 Widow To Recover Losses Sustained in Alternative Investments Including Hennessey Fund a/k/a Capital Solutions Monthly Income Fund

• May 28, 2014

UBS says $70M AEELA claim ‘meritless’

• May 22, 2014

AEELA reclama $70 millones a UBS

• May 20, 2014

AEELA radica reclamación de $70 millones contra UBS

• May 20, 2014

The Securities Arbitration Law Firm of KlaymanToskes and Carlo Law Offices File $70 Million Claim Against UBS Financial Services Incorporated of Puerto Rico on Behalf of Asociación De Empleados Del Estado Libre Asociado de Puerto Rico to Recover Losses in Puerto Rico Bonds

• May 20, 2014

The Securities Arbitration Law Firm of KlaymanToskes and Carlo Law Offices File $1 Million Claim Against Merrill Lynch to Recover Losses Sustained in Puerto Rico Closed-End Bond Funds and Puerto Rico Government Bonds

• May 20, 2014

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

FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers

• May 09, 2014

The Securities Arbitration Law Firm of KlaymanToskes and Carlo Law Offices File $1.5 Million Claim Against UBS Financial Services Incorporated of Puerto Rico to Recover Losses Sustained in Puerto Rico Closed-End Bond Funds

• May 05, 2014

FINRA sanctions OFS for bond markups

• March 27, 2014

FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments

• March 24, 2014

The Securities Arbitration Law Firm of KlaymanToskes and Carlo Law Offices File $1.5 Million Claim Against Santander Securities to Recover Losses Sustained in Puerto Rico Bonds and First Puerto Rico Funds

• March 14, 2014

FINRA Issues New Investor Alert, Bitcoin: More than a Bit Risky

• March 12, 2014

The Securities Arbitration Law Firm of KlaymanToskes and Carlo Law Offices File $500,000 Claim Against UBS Financial Services Incorporated of Puerto Rico to Recover Losses Sustained in Puerto Rico Closed-End Bond Funds

• March 02, 2014

Florlena Cortez

• February 28, 2014

The Securities Arbitration Law Firm of KlaymanToskes Investigates Chase Investment Services Corp. (“Chase”) Relating To The Supervision of Former Chase Broker Florlena Cortez

• February 28, 2014

James E. Neilsen

• February 27, 2014

The Securities Arbitration Law Firm of KlaymanToskes Investigates Longship Alternative Asset Management and Tradition Asiel Securities Relating To The Supervision of Former Longship Alternative Asset Management and Tradition Asiel Securities Broker James E. Neilsen

• February 27, 2014

FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs

• February 24, 2014

George J. Bussanich

• January 03, 2014

The Securities Arbitration Law Firm of KlaymanToskes Investigates Kovack Securities Relating To The Supervision of Former Kovack Securities broker George J. Bussanich

• January 03, 2014

Finra to Crack Down on Brokers With High Number of Complaints

• January 03, 2014

FINRA Releases 2014 Regulatory and Exam Priorities

• January 03, 2014

FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations

• December 17, 2013

The Securities Arbitration Law Firm of KlaymanToskes Comments on UBS Financial Services’ Plan to Repurchase Some Shares of Its Proprietary Puerto Rico Closed-End Bond Funds

• December 05, 2013

FINRA Bars Two Brokers for Stealing $300,000 From Elderly Widow With Diminished Mental Capacity

• December 04, 2013

Puerto Rico Closed-End Bond Funds

• December 03, 2013

Capital Solutions f/k/a Hennessey Fund

• November 22, 2013

NFL-approved broker barred by Finra

• November 21, 2013

KlaymanToskes Probing Sale Of Investments In UBS Willow Fund

• November 16, 2013

SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering

• November 14, 2013

Richard Allan Schwartz

• November 08, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates NYLIFE Securities, LLC Relating to The Conduct of Richard Allan Schwartz a/k/a Richard Allan Schack and The Supervision of His Activities

• November 08, 2013

FINRA Issues New Investor Alert: Closed-End Fund Distributions: Where is the Money Coming From?

• November 07, 2013

Fighting for the Investor: Restoring and Maintaining High-Profile Lifestyles

• October 31, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Wells Fargo Advisors Relating to The Conduct of James Arnold Busch and The Supervision of His Activities

• October 17, 2013

NASAA Top Investor & Small Business Threats

• October 17, 2013

Top 10 investor threats expanded to 15

• October 17, 2013

FINRA Issues New Investor Alert: Stock Up on Information Before Buying Stock

• October 11, 2013

National Center for Victims of Crime, FINRA Foundation Release Taking Action: An Advocate’s Guide to Assisting Victims of Financial Fraud

• October 10, 2013

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate UBS Puerto Rico In Connection with the Sale of Puerto Rico Bond Funds

• October 07, 2013

Investigation launched into sales of Puerto Rico bond funds

• October 05, 2013

The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into Damages Sustained by Investors Who Held Large, Unhedged Concentrated Positions in J.C. Penney Company Stock

• October 04, 2013

More Than 5,000 Stockbrokers From Expelled Firms Still Selling Securities

• October 04, 2013

The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into The Sales Practices of UBS Financial Services of Puerto Rico In Connection With the Sale of Puerto Rico Closed-End Bond Funds

• October 03, 2013

UBS-Lehman Class Action Opt-Out

• September 30, 2013

Concentrated Stock Positions

• September 30, 2013

The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into Damages Sustained by Investors Who Held Large, Unhedged Concentrated Positions in Tower Group Intl. Stock

• September 26, 2013

The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into Damages Sustained by Investors Who Held Large, Unhedged Concentrated Positions in Enerplus Corp. Stock

• September 26, 2013

The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into Damages Sustained by Investors Who Held Large, Unhedged Concentrated Positions in Pengrowth Energy Corp. Stock

• September 26, 2013

The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation Into Damages Sustained by Investors Who Held Large, Unhedged Concentrated Positions in Penn West Petroleum Stock

• September 26, 2013

Notice From the Securities Arbitration Law Firm of KlaymanToskes to UBS Customers Who Lost Over $100,000 in Lehman Principal Protection Notes: Deadline to Opt-Out of Class Action Against UBS Scheduled for November 19, 2013

• September 26, 2013

Diego F. Hernandez – AXA, Allstate

• September 25, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Allstate Financial Services and AXA Advisors Relating To The Supervision of Former Broker Diego F. Hernandez

• September 25, 2013

Tom Mikolasko – MMM Notes

• September 24, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates HFP Capital Markets, LLC Relating To The Supervision of Former HFP Broker Thomas O. Mikolasko

• September 24, 2013

FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio

• September 17, 2013

FINRA Foundation Survey Reveals Over 80 Percent of Respondents Are Exposed to Financial Scams

• September 16, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates SII Investments Relating To The Supervision of Former SII Broker David Patrick Thomas

• September 12, 2013

Ramco & Assoc.-Westover Energy

• September 12, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Mercator Associates, LLC Relating To The Supervision of Former Mercator Broker Yaman H. Sencan

• September 12, 2013

Cleveland Elite Invest Millions in Fund Now Under FBI Scrutiny

• September 12, 2013

Michael James Blake – Grace Communities

• September 11, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Ameritas Investment Corp. Relating To The Supervision of Former Ameritas Broker Michael James Blake

• September 11, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates UBS Financial Services, Inc. of Puerto Rico, Popular Securities, R-G Investments Corp. and Santander Securities Corp. Concerning the Sale of Puerto Rico Conservation Trust Fund Secured Notes 5.90%, due April 15, 2034

• September 06, 2013

UBS to Pay $50 Million to Settle SEC Charges of Misleading CDO Investors

• September 05, 2013

Larry J. Dearman, Sr. – Securities America

• September 03, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Securities America Relating To The Supervision of Former Securities America Broker Larry J. Dearman, Sr.

• August 30, 2013

FINRA Warns Investors of Marijuana Stock Scams

• August 20, 2013

Be wary of financial sales pitches

• August 18, 2013

Bre-X Minerals, Ltd.

• July 23, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Securities Arbitration Claims Regarding Bre-X Investments

• July 23, 2013

Darrell Smith

• July 22, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Against Multi-Financial Securities n/k/a Cetera Advisors Relating to Sales of Energae and I-Lenders Investments by Darrell Duane Smith

• July 22, 2013

SEC Halts Texas-Based Forex Trading Scheme

• July 19, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Potential Claims Against FINRA Broker-Dealer FSC Securities Relating to Barry George Hartman and Rocky Mountain Financial, LLC

• June 13, 2013

FINRA Issues New Investor Alert: Alternative Funds Are Not Your Typical Mutual Funds

• June 12, 2013

FINRA, SEC Warn Investors: Don’t Trade on Pump-And-Dump Stock Emails

• June 12, 2013

Robert Gist – ENCAP Technologies, LLC

• June 12, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Against FINRA Broker-Dealer Resource Horizons Group, LLC Relating to Allegations of Fraud Committed by Former Resource Horizons Representative Robert Gist a/k/a Bob Gist (CRD No. 716088)

• June 12, 2013

The Securities Arbitration Law Firm of KlaymanToskes Continues To Investigate Claims of UBS Customers Who Sustained Losses in the UBS Willow Fund, L.L.C.

• June 11, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Regarding Sales of Capital Solutions Monthly Income Fund f/k/a Hennessey Financial Monthly Income Fund

• June 11, 2013

SEC Charges Top Officials At Investment Adviser in Scheme to Hide Theft From Pension Fund of Detroit Police and Firefighters

• June 10, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Securities Arbitration Claims Regarding UBS Renaissance Institutional Equities Fund and The Satellite Multi-Strategy Access Fund

• June 06, 2013

FINRA to warn investors on alternative securities

• June 05, 2013

SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market

• June 03, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Regarding the Sale of BrioschiPharmaceuticals and Private Placements by FINRA Brokerage Firms Pinnacle Investments and Ridgeway & Conger

• June 03, 2013

Florida-Based Stock Promoter Charged with Lying to SEC Investigators

• May 31, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Relating to Maumee Authority Stamping’s “Investments-for-Jobs” Program Sold by Former LPL Advisors Mark Alan Pantenburg, Richard Sandru and Eric M. Douglas

• May 29, 2013

SEC Charges NASDAQ for Failures During Facebook IPO

• May 29, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Relating to the Sale of PERF Go-Green Securities by vFinance Investments, Inc.

• May 29, 2013

S. Mark Powell – Atlantic Trust

• May 28, 2013

The Securities Law Firm of KlaymanToskes Investigates Loan Transactions Made Through Former Managing Partner at Atlantic Trust Private Wealth, S. Mark Powell

• May 28, 2013

Mariner Access Funds

• May 24, 2013

KlaymanToskes Investigates Potential Claims Against Merrill Lynch Relating to Mariner Access Fund and Mariner 2X Access Fund

• May 24, 2013

SEC Charges Dallas-Based Trader With Front Running

• May 24, 2013

Blake B. Richards – LPL – Ameriprise

• May 23, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims of Misappropration of Former Ameriprise Advisor Services and LPL Financial Advisor Blake Richards

• May 23, 2013

SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds

• May 23, 2013

SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm

• May 22, 2013

Secretary of State William F. Galvin reaches settlements with firms over REIT sales

• May 22, 2013

LPL to Pay $9 Million for Systemic Email Failures and for Making Misstatements to FINRA

• May 21, 2013

FINRA, SEC Issue Investor Alert on Pension or Settlement Income Streams

• May 16, 2013

Mamtek Bonds-Morgan Keegan

• May 14, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Relating To The Sale of Mamtek Bonds by Morgan Keegan

• May 14, 2013

FINRA Fines Three Firms $900,000 for Inadequate Anti-Money Laundering Programs

• May 09, 2013

The Securities Arbitration Law Firm of KlaymanToskes Announces The Launch of Website To Provide Information To Investors Who Sustained Losses In The UBS Willow Fund

• May 01, 2013

UBS Willow Fund Investors May Be Able To Recover Their Losses

• April 30, 2013

KlaymanToskes Investigates Claims Relating to Losses to Sustained In Notes Sold By William David Thomas, Including Integrity Capital Notes

• April 29, 2013

UBS Willow Fund

• April 23, 2013

Success Trade Securities Notes

• April 22, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Regarding Customers of Success Trade Securities Who Sustained Losses In Success Trade Promissory Notes

• April 22, 2013

FINRA Files Temporary Cease-and-Desist Order Against Success Trade Securities and CEO Fuad Ahmed to Halt Fraud

• April 22, 2013

Diversified Lending Group Notes

• March 26, 2013

Liberty Silver Corp/John Thomas Fin.

• March 15, 2013

Phil Scott Group/Merrill Lynch

• March 14, 2013

Notice To All Customers of The Phil Scott Group and Merrill Lynch From The Securities Arbitration Law Firm of KlaymanToskes

• March 14, 2013

SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance

• March 12, 2013

FINRA Bars Florida Broker for Unsuitable Recommendations and Unapproved Securities Transactions Involving 31 NFL Players

• March 07, 2013

KlaymanToskes Investigates Claims Relating to Tracy Morgan Spaeth and Sales of ProfitStars Int’l Corp.

• February 28, 2013

KlaymanToskes Investigates Potential Claims Relating to Gregory John Campbell

• February 28, 2013

UPS Employees

• February 16, 2013

KlaymanToskes Investigates Claims Concerning The Hartford Floating Rate Fund

• February 12, 2013

Silver Oak Leasing – Alberto Neira

• February 11, 2013

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation on Behalf of Apple Shareholders Who Held Large Concentrated Positions in Apple Stock With Full-Service Brokerage Firms

• January 31, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors Who Sustained Losses In Equity Linked Structured Products Tied To The Price of Apple Stock

• January 30, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Regarding Great American Advisors and David Brouwer

• January 16, 2013

David Brouwer; Equity-Linked Notes

• January 16, 2013

Warsowe Debentures

• January 14, 2013

Jason Knapp/Dawson James Customers

• January 08, 2013

Finra fines LPL, four other firms for mutual fund lapses

• January 02, 2013

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation on Behalf of Groupon Shareholders Who Held Large Concentrated Positions in Groupon Stock With Full-Service Brokerage Firms

• January 02, 2013

FINRA Sanctions Five Firms $4.4 Million for Using Municipal and State Bond Funds to Pay Lobbyists

• January 02, 2013

FINRA Orders Pruco Securities to Pay $10.7 Million in Restitution for Improper Pricing of Mutual Fund Orders; Firm Fined $550,000

• January 02, 2013

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Wells Timberland REIT Investors

• December 19, 2012

Wells Timberland REIT

• December 19, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files Another Arbitration Claim Against LPL Financial To Recover Losses Sustained in Inland Western REIT n/k/a Retail Properties of America Investors

• December 14, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims On Behalf of Customers of the Phil Scott Team and Merrill Lynch

• December 14, 2012

Notice to All LPL Customers Who Invested In REITs: The Securities Arbitration Law Firm of KlaymanToskes Urges You To Explore All of Your Legal Options In Light of Complaint Recently Filed by Massachusetts Against LPL Regarding REITs

• December 12, 2012

Massachusetts sues LPL over nontraded REIT sales

• December 12, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files $200,000 Claim Against Ameriprise Financial Services As It Continues To Investigate Claims On Behalf of Inland Western REIT Investors

• December 12, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims Against Full Service Brokerage Firms On Behalf of Investors Who Sustained Losses in Tenants-In-Common Investment

• December 10, 2012

Diamondback to Close After Investors Withdraw $520 Million

• December 10, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors of Foresee Strategies Insurance Fund and Foresee Strategies 3(c)(1) Insurance Fund, LP

• December 07, 2012

SEC, FINRA Issue New Investor Alert: Year-End Investment Considerations for Individual Investors

• December 06, 2012

REITs Purchased From LPL Financial

• December 05, 2012

Lehman Principal Protected Notes

• December 04, 2012

FINRA ponders broker bonus disclosure rule

• November 30, 2012

FINRA Files Complaint Charging the President and Owner of Brooklyn Brokerage Firm TWS Financial for Operating Fraudulent Scheme Targeting Polish Community

• November 28, 2012

KlaymanToskes Investigates Claims On Behalf of Coast Access II LLC Hedge Fund Investors

• November 26, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Former Customers of LPL and Jeffrey A. Cashmore

• November 19, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files $1.4 Million Claim Against Multi-Financial Securities Corp. As It Continues To Investigate Claims On Behalf of Inland Western REIT Investors

• November 16, 2012

SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings

• November 16, 2012

SEC Charges Purported Credit Union and Its Principal with Offering Fraud

• November 08, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf Of Bernstein Multi Strategy Fixed Income Hedge Fund Investors

• November 05, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims Against Full Service Brokerage Firms On Behalf of Investors Who Sustained Losses in Tenants-In-Common Investments

• October 30, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims On Behalf of David Lerner Customers Who Invested in Apple REITs

• October 30, 2012

Judge Denies Merrill Attempt To Overturn $10 Million Arbitration Award

• October 30, 2012

Bad news for Lerner in REIT flap

• October 29, 2012

KlaymanToskes Investigates Claims On Behalf of Geneva Organization Tenant-in-Common Investments

• October 25, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims on Behalf of Victims of Nicholas J. Polito, Jr.

• October 24, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims On Behalf Of Investors Who Sustained Losses in Fannie Mae Preferred Stock

• October 23, 2012

Finra Sanctions David Lerner Associates $14M

• October 22, 2012

FINRA Sanctions David Lerner Associates $14 Million for Unfair Practices in Sale of Apple REIT Ten and for Charging Excessive Markups on Municipal Bonds and CMOs

• October 22, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims On Behalf Of Investors Who Sustained Losses in Fannie Mae Preferred Stock

• October 19, 2012

Reverse Convertibles

• October 18, 2012

Notice to Morgan Keegan Customers Who Invested $1 Million or More in the RMK Closed-End Bond Funds: The Securities Arbitration Law Firm of KlaymanToskes Urges You to Explore Your Legal Options Regarding the Recently Settled Class Action Against Morgan Keegan

• October 17, 2012

Behringer Harvard Strategic Opp. Fund

• October 17, 2012

Ellen Erenstein and Investors Capital Corp.

• October 16, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files Another $1,000,000 Claim Against LPL Financial As It Continues To Investigate Claims On Behalf of Retail Properties of America Investors

• October 15, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files $500,000 Claim Against LPL Financial As It Continues To Investigate Claims On Behalf of Inland Western REIT n/k/a Retail Properties of America Investors

• October 04, 2012

Non-Traded REITs in FINRA’s Cross Hairs

• October 02, 2012

Advanced Equities

• September 19, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Customers of Advanced Equities Who Invested in An Alternative Energy Company in Silicon Valley, CA, Reportedly Bloom Energy

• September 19, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files $1,000,000 Claim Against LPL Financial

• September 18, 2012

The Securities Arbitration Law Firm Investigates Claims On Behalf of Customers of Connecticut-Based Broker, Stephen B. Blankenship

• September 13, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims Against Full Service Brokerage Firms On Behalf of Investors Who Sustained Losses in Tenants-In-Common Investments

• September 12, 2012

SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts

• September 10, 2012

Gary Harrison Lane Customers

• September 06, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Against Merrill Lynch on Behalf of Customers of Gary Harrison Lane

• September 06, 2012

Clinton Fraley/Wealth by Design

• August 28, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Former Customers of Clinton D. Fraley and MML Investors Services, LLC, Northwestern Mutual Investment Services, LLC or Wealth By Design, Inc.

• August 28, 2012

Widow sues over losses from investments based on ‘lunar cycles’

• August 27, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors of Behringer Harvard Strategic Opportunity Fund I

• August 24, 2012

NASAA Identifies Emerging and Persistent Investor Threats

• August 23, 2012

FINRA Expels WJB Capital Group, Inc. and Bars CEO and CFO for Misstating Financial Records and Net Capital Deficiencies

• August 16, 2012

SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks

• August 14, 2012

Ameriprise, LPL Face More Claims Over Non-Traded REITs

• August 01, 2012

FINRA Expels Biremis, Corp. and Bars President and CEO Peter Beck

• July 31, 2012

Delphinus CDO – Mizuho Securities

• July 30, 2012

The Securities Arbitration Law Firm of KlaymanToskes Files $315,000 Arbitration Claim Against LPL Financial As It Continues To Investigate Claims On Behalf of Inland Western REIT n/k/a Retail Properties of America Investors

• July 25, 2012

SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO

• July 23, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims Against Full Service Brokerage Firms On Behalf of Investors Who Sustained Losses in Tenant-In-Common Investments

• July 19, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Victims of Former M&T Securities Broker Thomas E. Kelly

• July 19, 2012

JPMorgan Funds/Strategic Portfolios

• July 18, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors of JPMorgan Chase Proprietary Mutual Funds and Chase Strategic Portfolios

• July 18, 2012

Insight Real Estate LLC 2007-A Debentures

• July 17, 2012

The Securities Arbitration Law Firm of KlaymanToskes Obtains $254,400 Award, Including $125,000 In Punitive Damages, On Behalf of California Investor Who Sustained Losses In Unsuitable Private Placement Recommendation

• July 13, 2012

Peregrine Financial Recovery

• July 12, 2012

Thompson National Properties Notes

• July 12, 2012

Many Regulators Put Their Attention on How JPMorgan Marketed Its Funds

• July 12, 2012

Leveraged and Inverse ETFs

• July 11, 2012

FINRA Issues New Investor Alert: Exchange-Traded Notes—Avoid Unpleasant Surprises

• July 11, 2012

Tenants-In-Common–DBSI

• July 10, 2012

Notice From the Securities Arbitration Law Firm of KlaymanToskes to All Bruce M. Harada Customers

• July 10, 2012

Wall Street’s Captive Arbitrators Strike Again

• July 09, 2012

Radio pitchman’s investment empire under siege by financial regulators

• July 09, 2012

Thomas Kelly – M&T Securities

• July 09, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Customers of MSSB Broker Delsa Thomas

• July 05, 2012

FINRA Launches Pilot Program For Large Arbitration Cases

• July 03, 2012

Inland Western REIT-Retail Properties of America

• June 29, 2012

Bruce M. Harada Customers

• June 29, 2012

Philip A. Falcone and Harbinger Charged with Securities Fraud

• June 28, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims on Behalf of Investors Who Sustained Losses by Investing in Notes Associated with National Note of Utah and Wayne LaMar Palmer

• June 25, 2012

Wayne Palmer – National Note of Utah

• June 25, 2012

Notice to All Customers of Darin Bradley Whittington From the Securities Arbitration Law Firm of KlaymanToskes

• June 22, 2012

Darin Bradley Whittington Customers

• June 22, 2012

FINRA Fines Merrill Lynch $2.8 Million for Overcharging Customers; $32 Million in Remediation Paid to Affected Customers

• June 21, 2012

Gurudeo “Buddy” Persaud Customers

• June 21, 2012

Did you Invest in Paladin Realty Income Properties?

• June 21, 2012

Mountain V Oil and Gas Losses

• June 21, 2012

Two Accused of Misusing Pension Funds

• June 18, 2012

Burton Douglas Morriss Customers

• June 13, 2012

Benjamin Daniel DeHaan Customers

• June 13, 2012

Certified Financial Planner Board Disciplines 24 Advisors

• June 13, 2012

SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme

• June 13, 2012

Behringer Harvard Short Term Opportunities

• June 13, 2012

OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis

• June 06, 2012

FINRA Hearing Panel Fines Brookstone Securities $1 Million for Fraudulent Sales of CMOs to Elderly

• June 04, 2012

Giancarlo Ciocca Customers

• May 29, 2012

Fidelity-Facebook Execution Losses

• May 24, 2012

A&O Resource Management

• May 22, 2012

SEC Charges Two Feeders for One of South Florida’s Largest-Ever Ponzi Schemes

• May 22, 2012

N.Y. AG alleges securities fraud

• May 21, 2012

Largest nontraded REIT in SEC probe

• May 10, 2012

Daniel Spitzer Customers

• May 10, 2012

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation On Behalf of Arch Coal Shareholders With Large Concentrated Positions

• May 07, 2012

Andre Mari Gonzales Customers

• May 07, 2012

Nontraded REIT rules roiled by appraisal issue

• May 07, 2012

Investigation On Behalf of David Zeng and Merrill Lynch Customers

• May 02, 2012

David Zeng Customers

• May 02, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims on Behalf Of UBS Puerto Rico Customers Who Purchased Closed End Funds Between 2008 and 2009

• May 02, 2012

SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers

• May 01, 2012

FINRA Sanctions Four Firms $9.1 Million for Sales of Leveraged and Inverse Exchange-Traded Funds

• May 01, 2012

CIP Leveraged Fund

• April 30, 2012

KBS REITs

• April 29, 2012

REITs Spring an Unnerving Surprise

• April 25, 2012

Stone & Youngberg-CMOs, Inverse Floaters

• April 25, 2012

The Phil Scott Team and Merrill Lynch

• April 24, 2012

Cantone Research-Christine Cantone

• April 23, 2012

Cardiac Network Promissory Notes

• April 23, 2012

Robert H. Van Zandt

• April 23, 2012

FISN, Inc., Non-CD Investments

• April 20, 2012

FINRA to bring cases over leveraged, inverse ETFs

• April 19, 2012

Richard A. Finger Customers

• April 16, 2012

Matthew D. Hutcheson Customers

• April 16, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf Of Victims of Martin Feibish

• April 14, 2012

Martin Feibish Investors

• April 14, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Inland Western REIT, now known as Retail Properties of America

• April 13, 2012

SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research “Huddles”

• April 13, 2012

David Lerner’s brokerage fined $2.3 million for misleading investors

• April 04, 2012

FINRA investigating exchange-traded notes: spokesperson

• March 30, 2012

Cornerstone Core Properties REIT

• March 30, 2012

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation On Behalf Of Investors Who Sustained Losses in Cornerstone Core Properties REIT

• March 30, 2012

NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

• March 27, 2012

Feds Say Wells Fargo Won’t Turn Over Documents

• March 26, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims on Behalf of Customers of Robert Henry Van Zandt and MetLife Securities, JHS Capital Advisors and The Investment Center

• March 23, 2012

SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds

• March 22, 2012

FINRA Fines Citi International Financial $600,000 and Orders Restitution of $648,000 for Excessive Markups and Markdowns

• March 19, 2012

SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors

• March 16, 2012

Advisor Charged With Murdering Client To Cover Up Fraud

• March 15, 2012

Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case

• March 05, 2012

SEC Releases Risk Alert on Unauthorized Trading

• February 29, 2012

While the Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Concerning Lyon Capital Management VII and Bryn Mawr II CLOs, Massachusetts Subpoenas Bank of America Focusing on Overvaluation of Assets

• February 10, 2012

KlaymanToskes Investigates Claims on Behalf of Former Customers of Richard Harold Byerly

• February 09, 2012

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims on Behalf of Former Customers of Robert F. Hockensmith, Jr.

• February 09, 2012

Lyon Capital Management and Bryn Mawr

• February 08, 2012

Jason Bo-Alan Beckman and Oxford PCG

• February 08, 2012

First Solar

• February 08, 2012

Eastman Kodak Co.

• February 07, 2012

FINRA Charges Charles Schwab & Co With Violating FINRA Rules by Using Class Action Waiver in Customer Agreements

• February 07, 2012

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims On Behalf of Customers of the Phil Scott Team and Merrill Lynch

• February 06, 2012

Notice From the Securities Arbitration Law Firm of KlaymanToskes to Banc of America Securities Customers Who Purchased Lyon Capital Management VII CLO

• February 06, 2012

Atlas Energy Master LP

• February 06, 2012

SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis

• February 02, 2012

Behringer Harvard Short-term Opportunity Fd

• February 01, 2012

FINRA sues David Lerner founder for misleading investors

• January 31, 2012

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation on Behalf of Alpha Natural Resources Shareholders Who Held Concentrated Stock Positions in Alpha Natural Resources With Full-Service Brokerage Firms

• January 30, 2012

FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports

• January 23, 2012

Alpha Natural Resources

• January 15, 2012

KlaymanToskes Investigates Claims On Behalf of Investors Who Sustained Losses in the UBS Willow Fund

• January 05, 2012

SEC CHARGES FORMER FANNIE MAE AND FREDDIE MAC EXECUTIVES WITH SECURITIES FRAUD

• December 16, 2011

The Securities Arbitration Law Firm of KlaymanToskes Investigates Securities Arbitration Claims Against Wells Investment Securities After FINRA Levies Fine of $300,000 for Misleading Marketing of Wells Timberland REIT

• December 15, 2011

FINRA Fines Wells Fargo $2 Million for Unsuitable Sales of Reverse Convertibles to Elderly Customers and Failure to Provide Breakpoints on UIT Sales

• December 15, 2011

Harbinger Capital

• December 13, 2011

SEC Charges Wachovia With Fraudulent Bid Rigging in Municipal Bond Proceeds

• December 09, 2011

SEC, U.S. Attorney and FBI Announce 13 Charged in Connection with Securities Kickback Schemes

• December 02, 2011

SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections

• December 02, 2011

Jack Kleck-LPL Financial

• November 30, 2011

B-D to pay $2M to clients over Provident Royalties private placements

• November 29, 2011

FINRA Sanctions Eight Firms and 10 Individuals for Selling Interests in Troubled Private Placements, Including Medical Capital, Provident Royalties and DBSI, Without Conducting a Reasonable Investigation

• November 29, 2011

FINRA Fines Wells Investment Securities $300,000 for Use of Misleading Marketing Materials for REIT Offering

• November 23, 2011

The Securities Arbitration Law Firm of KlaymanToskes Files What Is Believed To Be The First FINRA Arbitration Claim Against LPL Financial To Recover Losses Sustained in LaeRoc Funds

• November 18, 2011

SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement

• November 16, 2011

The Securities Arbitration Law Firm of KlaymanToskes Investigates Sale of Gibraltar Partners and Rahfco Funds by Edward Jones Brokers

• November 15, 2011

FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds

• November 15, 2011

Citigroup, Deutsche Bank Pay $165 Million To Settle Claims They Misled Credit Unions

• November 15, 2011

The Securities Arbitration Law Firm of KlaymanToskes Continues To Investigate Claims Against Underwriters of MF Global Notes As Noteholders May Get As Little As 10% of Investment

• November 11, 2011

MF Global’s Bondholders May Get as Little as 10% of Investment, Fitch Says

• November 11, 2011

The Securities Arbitration Law Firm of KlaymanToskes Continues To Investigate Claims Against Underwriters of MF Global Notes

• November 07, 2011

MF Global Notes

• November 02, 2011

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation on Behalf of Purchasers of MF Global 6.250% Senior Notes due 2016

• November 02, 2011

Notice to Lehman Brothers 100% Principal Protection Note Holders: Explore Your Legal Options in Light of November 4, 2011 Voting Deadline

• November 01, 2011

Investors in failed Morgan Keegan mutual funds to receive partial reimbursement

• November 01, 2011

Municipal Bond Arbitrage Funds

• November 01, 2011

Investors Opt for Arbitration Panels Without Ties to Wall Street

• October 28, 2011

FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures

• October 25, 2011

Desert Capital REIT

• October 24, 2011

Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market

• October 20, 2011

Investment Broker Guilty in Ponzi Scheme

• October 12, 2011

‘Selling away’ again a concern for regulators

• October 11, 2011

The Securities Arbitration Law Firm of KlaymanToskes Obtains $247,000 FINRA Arbitration Award on Behalf of Private Placement Investor

• October 04, 2011

FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme

• October 04, 2011

FINRA Issues Investor Alert on Public Non-Traded REITs

• October 04, 2011

Bank of America

• October 02, 2011

Morgan Keegan Bond Funds

• October 01, 2011

David Lerner Assoc. – Apple REITs

• September 30, 2011

Tough Finra proposal aims to bring nontraded-REIT pricing up to par

• September 30, 2011

FINRA Orders Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to Pay $1.69 Million in Restitution for Charging Unfair Commissions

• September 29, 2011

Gibraltar Partners and Rahfco Funds

• September 29, 2011

Hedge Fund Sues Morgan Stanley Over Sino-Forest Options Deal

• September 23, 2011

SEC moves to limit firms’ bets against clients

• September 21, 2011

FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business

• September 14, 2011

FINRA Fines Five Broker Dealers for Improper Handling Fees

• September 14, 2011

FINRA Warns Investors of Gold Stock Scams

• August 26, 2011

FINRA Suspends and Fines Trader; Orders Restitution for Manipulative Trading that Artificially Impacted the Market Through a Concealed Account

• August 18, 2011

Commonwealth Financial Network, LPL Sold Troubled Private Placement

• August 15, 2011

FINRA Fines Citigroup $500,000 for Failing to Supervise Sales Assistant Who Misappropriated Customer Funds

• August 10, 2011

The Securities Arbitration Law Firm of KlaymanToskes Encourages All Class Members Who are Eligible To Participate in the Settlement of the Wachovia Preferred Securities and Bond/Notes Litigation To Explore All Of Their Legal Options

• August 09, 2011

Wachovia Preferreds, Bonds/Notes

• August 06, 2011

Meridian Fund/Darren Berg

• August 03, 2011

Notice From the Securities Arbitration Law Firm of KlaymanToskes To Longtop Financial Technologies Investors Who Are Eligible to Participate in the Class Action Filed Against Longtop Financial Technologies

• August 02, 2011

The Securities Arbitration Law Firm of KlaymanToskes Files Claim Against Bear Stearns n/k/a JPMorgan on Behalf of Two Retirees, Seeking Recovery of $2.37 Million

• August 02, 2011

Longtop Financial Technologies

• August 01, 2011

FINRA Fines SunTrust Robinson Humphrey, SunTrust Investment Services a Total of $5 Million for Auction Rate Securities Violations

• July 26, 2011

Merrill Mort. Pass-Through Certificates

• July 20, 2011

David Lerner Associates’ Fiduciary Compliance on Apple REITs Under Investigation

• June 20, 2011

David Lerner Associates’ Fiduciary Compliance on Apple REITs

• June 18, 2011

COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs

• June 17, 2011

Chinese Reverse Merger Companies

• June 16, 2011

As the Securities Arbitration Law Firm of KlaymanToskes Continues to Prosecute Claims Against UBS On Behalf of Lehman Brothers Principal Protection Note Investors, SEC and FINRA Issue Joint Investor Alert Regarding Principal Protection Notes

• June 16, 2011

SEC Issues Bulletin on Risks of Investing in Reverse Merger Companies

• June 15, 2011

Goldman Sachs Agrees to Stop Trading “Huddles”, Pays $10 Million Civil Fine

• June 09, 2011

COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs

• June 09, 2011

COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs

• June 09, 2011

FINRA Fines Northern Trust Securities, Inc. $600,000 for Inadequate Supervision of Sales of Collateralized Mortgage Obligations and Certain High-Volume Securities Trades

• June 03, 2011

SEC, FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection

• June 03, 2011

American Superconductor Corp.

• June 01, 2011

Broker-Dealer Omni Brokerage Closes Its Doors

• June 01, 2011

FINRA Charges David Lerner & Associates With Soliciting Investors to Purchase REITs Without Fully Investigating Suitability; Lerner Marketed REITs on its Website With Misleading Returns

• May 31, 2011

Life Partners Holdings Life Settlements

• May 27, 2011

The Securities Arbitration Law Firm of KlaymanToskes Launches An Investigation On Behalf Of Life Partners Holdings Investors Who Purchased Life Settlements

• May 27, 2011

FINRA Fines Credit Suisse Securities $4.5 Million and Merrill Lynch $3 Million for Misrepresentations Related to Subprime Securitizations

• May 26, 2011

Retired UPS employee files $4M suit

• April 25, 2011

Notice From the Securities Arbitration Law Firm of KlaymanToskes to All UBS Customers Who Invested in Lehman Brothers 100% Principal Protection Notes

• April 25, 2011

The Securities Arbitration Law Firm of KlaymanToskes Files $4 Million Claim Against Merrill Lynch On Behalf of Retired UPS Employee

• April 25, 2011

Brokerages Wrestle With New Suitability Rules

• April 19, 2011

The Securities Law Firm of KlaymanToskes Files Additional Arbitration Claims Against UBS Seeking Recovery of Losses Sustained in Lehman Brothers 100% Principal Protection Notes

• April 15, 2011

FINRA Panel Orders Citigroup to pay $54.1 million to ASTA/MAT Investors

• April 14, 2011

Important Notice to UBS Customers: KlaymanToskes Continues to Pursue Arbitration Claims Against UBS For Losses Sustained in Lehman Brothers 100% Principal Protection Notes In Light of FINRA’s Restitution Order of Only $8.25 Million

• April 11, 2011

Broker-Dealers Sanctioned by FINRA For Lack of Due Diligence

• April 11, 2011

Ameriprise unit nears $50 million settlement

• March 31, 2011

FINRA Fines Southwest Securities, Inc. $650,000 for Compliance Failures That Permitted Correspondent Firm Cutler Securities to Cause a $6.3 Million Single-Day Loss Through Improper Short Sales

• March 23, 2011

Goldman Sachs Hudson CDO Securities

• March 01, 2011

FedEx Employees

• March 01, 2011

Charles Schwab’s Total Bond Market Fund

• March 01, 2011

Stone & Youngberg Municipal Advantage Fund

• March 01, 2011

1861 Capital Management Funds

• March 01, 2011

GEM Capital Arbitrage Fund

• March 01, 2011

Goldman Sachs ABACUS 2007-AC1 CDO

• March 01, 2011

Rhonda Breard and Breard & Associates Wealth Management

• March 01, 2011

CIT InterNotes

• March 01, 2011

Leveraged and Inverse Exchange-Traded Funds

• March 01, 2011

Banc of America CDOs

• March 01, 2011

Oppenheimer Bond

• March 01, 2011

Bernard L. Madoff Ponzi-Scheme

• March 01, 2011

Freddie Mac Preferred Stock, Series Z

• March 01, 2011

Lehman Brothers Preferred Stock, Series J

• March 01, 2011

AIG Junior Subordinated Debentures, Series A-5

• March 01, 2011

Fannie Mae Preferred Stock, Series S

• March 01, 2011

Citigroup’s Falcon Plus Strategies Fund

• March 01, 2011

Bear Stearns Enhanced Leverage and High-Grade Hedge Funds

• March 01, 2011

Collateralized Debt Obligations Sold by Merrill Lynch and UBS

• March 01, 2011

Goldman Sachs Global Alpha Fund

• March 01, 2011

Fidelity´s Ultra-Short Bond Fund

• March 01, 2011

FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information

• February 22, 2011

Medical Capital Holdings

• February 21, 2011

Provident Royalties/Shale Royalties

• February 20, 2011

Citigroup’s ASTA and MAT Funds

• February 19, 2011

The Aravali Fund

• February 18, 2011

Charles Schwab’s Yield Plus Funds

• February 17, 2011

Warrants and Structured Warrants

• February 14, 2011

Collateralized Debt Obligations

• February 13, 2011

Preferred Financial Stocks

• February 12, 2011

Annuities

• February 11, 2011

Questar Capital

• February 10, 2011

Evergreen Ultra Short Opportunities Fund

• February 08, 2011

Auction Rate Securities

• February 07, 2011

Employee Stock Options

• February 06, 2011

Brookstreet Securities

• February 05, 2011

Fannie Mae Preferred Stock, Series T

• February 03, 2011

CSO (“Corporate Special Opportunities”) Partners Fund

• February 02, 2011

The Securities Arbitration Law Firm of KlaymanToskes Applauds the SEC’s Study Which Recommends The Establishment of a Fiduciary Duty for Retail Brokers

• January 28, 2011

SEC Charges Merrill Lynch for Misusing Customer Order Information and Charging Undisclosed Trading Fees

• January 28, 2011

The Securities Arbitration Law Firm of KlaymanToskes Issues Statement Ahead of the Release of the SEC’s “Fiduciary Study”, Supporting A Fiduciary Standard For Retail Brokers

• January 21, 2011

FINRA Orders Charles Schwab & Co. to Pay $18 Million to Investors for Improper Marketing of YieldPlus Bond Fund

• January 12, 2011

FINRA Seeks Cease-and-Desist Order to Halt Ongoing Fraud and Misuse of Funds by Pinnacle Partners and its President Brian Alfaro

• December 10, 2010

FINRA Fines Goldman Sachs $650,000 for Failure to Disclose Wells Notices

• November 09, 2010

SEC Probes Citigroup Hedge Funds

• November 09, 2010

Notice From the Securities Arbitration Law Firm of KlaymanToskes To All Goldman Sachs Customers Who Invested in Hudson CDO Securities

• November 02, 2010

FINRA Orders Ferris, Baker Watts to Pay Close to $700,000 for Improper Sales of Reverse Convertible Notes

• November 02, 2010

Notice From the Securities Arbitration Law Firm of KlaymanToskes to All Lincoln Financial Securities Corp. and Capital Analysts Customers Who Were Victimized by Kenneth Wayne McLeod

• October 22, 2010

FINRA Proposes Permanently Giving Claimants the Option of All-Public Arbitration Panels

• October 05, 2010

Notice to All Current and Former UPS Employees Who Held Concentrated Positions in UPS Stock on Margin/Hypo Loans From the Securities Arbitration Law Firm of KlaymanToskes

• October 01, 2010

FINRA Levies Sanctions of $2.26 Million Against Trillium Brokerage Services’ Director of Trading, Chief Compliance Officer, and Nine Traders for Illicit Equities Trading Strategy

• September 21, 2010

Notice From the Securities Arbitration Law Firm of KlaymanToskes to All UBS Customers Who Invested in Lehman Brothers 100% Principal Protection Notes

• September 21, 2010

Montana’s Commissioner of Securities Files Complaint Against Securities America Regarding Its Sales of Medical Capital Notes

• September 09, 2010

HSBC Fined $375,000 by FINRA for Unsuitable Sales of Inverse Floating Rate CMOs to Retail Customers and Related Supervisory Failures

• August 19, 2010

FINRA Orders Merrill Lynch to Pay Over $2.5 Million In Connection With Unit Investment Trusts Sales Charge Discount Failures

• August 19, 2010

Notice From the Securities Arbitration Law Firm of KlaymanToskes to All UBS Customers Who Invested in 1861 Capital Management Municipal Bond Arbitrage Funds

• August 10, 2010

SunTrust Investment Services Ordered by FINRA to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions

• August 02, 2010

Deutsche Bank Securities fined $7.5 Million for Negligent Misrepresentations Related to Subprime Securitizations

• July 22, 2010

FINRA Announces That It Will Make Additional Information About Brokers, Former Brokers Publicly Available Through BrokerCheck

• July 21, 2010

Goldman Sachs Agrees to Pay $550 Million to Settle SEC Charges Relating to the ABACUS CDO

• July 20, 2010

FINRA Sanctions Citigroup for $1.5 Million Due to Supervisory Failures in Connection with a Scheme to Misappropriate Millions of Dollars Belonging to Michigan and Tennessee Cemeteries

• May 26, 2010

Notice To All Provident Royalties Investors Eligible To Vote For Accepting or Rejecting The Consolidated Plan of Liquidation

• May 26, 2010

FINRA Issues Regulatory Notice 10-22 Which Reminds Broker-Dealers of Their Obligation to Conduct Reasonable Investigations in Regulation D Offerings and to Make Suitable Recommendations under NASD Rule 2310

• April 27, 2010

Wall Street Banks Brace for Widening Financial Regulatory Probes

• April 20, 2010

SEC charges Goldman Sachs with defrauding investors

• April 16, 2010

SEC Files Securities Fraud Action Against Goldman Sachs Concerning Its ABACUS 2007-AC1 CDO

• April 16, 2010

The Securities Law Firm of KlaymanToskes Announces that the SEC and FINRA Have Charged Morgan Keegan Concerning Its RMK Bond Funds

• April 07, 2010

The Securities Law Firm of KlaymanToskes Files Arbitration Claim Against UBS Seeking Recovery of $300,000 for Losses Sustained in Lehman Brothers 100% Principal Protection Notes and Fannie Mae Preferred Stock

• March 30, 2010

FINRA Expels Provident Asset Management for Marketing Fraudulent Private Placements Offered by Affiliate in Ponzi Scheme

• March 30, 2010

Federal Prosecutors Charge Rhonda Breard with Fraud

• March 11, 2010

The Washington State Department of Financial Institutions Issues Consumer Alert Regarding Rhonda Breard and Breard & Associates Wealth Management

• March 03, 2010

Investors Lose Key Provision that Would Have Created “Fiduciary Duty” Standard for Securities Brokers

• March 02, 2010

The Securities Law Firm of KlaymanToskes Investigates Claims Against ING on Behalf of Victims of Rhonda Breard

• March 01, 2010

KlaymanToskes Files Arbitration Claim Against Banc of America Investment Services on Behalf of 83 Year Old Retiree Whose Account Was Over-Concentrated in the Financial Sector

• February 25, 2010

FINRA Fines H&R Block Financial Advisors $200,000 for Failure to Supervise Sales of Reverse Convertible Notes, Fines and Suspends Broker for Unsuitable Sales to Retirees

• February 17, 2010

NY Attorney General Andrew Cuomo Files Martin Act Suit Against Bank of America, Former CEO Kenneth Lewis

• February 04, 2010

SEC Suffers Setback As Complaint Against Madoff Marketers is Dismissed

• February 03, 2010

Former Credit Suisse Broker Sentenced for Wire Fraud and Securities Fraud Charges

• January 27, 2010

Massachusetts to Bring First State Enforcement Action Against Securities America for Sale of Medical Capital Notes

• January 26, 2010

Securties America CEO Retires as Lawsuits Against the Brokerage Firm Continue to Rise

• January 26, 2010

SEC Charges Bank of America for Failing to Disclose Losses at Merrill Lynch

• January 18, 2010

FINRA Fines Pacific Cornerstone Capital, CEO $750,000

• January 12, 2010

KlaymanToskes Files Arbitration Claim Against Citigroup On Behalf of Single Mother Whose Account Was Over-Concentrated in Citigroup Stock

• January 06, 2010

Opt-Out Deadline for the Schwab YieldPlus Class Action is Only 7 Days Away, Announces The Securities Law Firm of KlaymanToskes

• December 21, 2009

Notice From the Securities Law Firm of KlaymanToskes to All Medical Capital Note Investors

• December 17, 2009

The Securities Law Firm of KlaymanToskes Announces the Launch of New Securities Arbitration and Litigation Blog

• December 01, 2009

Bank of America’s post-Lewis era has just as many problems

• October 01, 2009

Regulators: Fund firm hid losses

• June 09, 2009

Madoff Set to Disclose List of Holdings

• December 31, 2008

New wave of class actions filed in wake of subprime collapse

• October 10, 2008

‘Safe’ bets turn perilous as bonds fall

• September 09, 2008

Selling a Free Lunch

• August 21, 2008

Citi, Merrill To Buy Back ARS It Issued Or Sold

• August 08, 2008

SEC Probes ‘Vomitorium’ While More Patients Gag

• August 07, 2008

Wachovia Drops Some Brazilian Clients

• July 22, 2008

US law firm expects more investor claims (Bear Stearns)

• June 24, 2008

Many investor suits on CDOs may follow HSH case

• February 25, 2008

Firms Giving Loans To Cash-Hungry Clients

• February 22, 2008

Regulation: The Burden and the Backlash

• February 01, 2008

Merrill, Morgan Mull New Brokerage Account

• August 30, 2007

Goldmans in $2bn fund bail out

• August 14, 2007

When Arbitrators Are Their Own Judges

• August 12, 2007

Morgan Stanley Tests Fee-Based Advisory Plan

• August 10, 2007

Bear Stearns In A Seize And Desist Move

• July 27, 2007

Morgan Stanley To Keep Opening Fee-Based Brokerage Accts

• June 07, 2007

UBS Mulls Shuttering Fee-Based Brokerage Accounts

• May 09, 2007

Lawyers weigh into UBS fraud accusation

• December 19, 2006

NYSE, SEC Reach Settlement In Fraud Case

• April 12, 2005

Brokerages Sell Advice, Yet Shun Legal Responsibility

• January 06, 2005

Dueling Trend Lines on Complaints

• February 11, 2004

Over-Concentration Cases: More Fallout From Tech Bubble

• December 14, 2003

Atlanta Salomon Smith Barney office under scrutiny

• November 10, 2003

Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting

• August 26, 2003

Investors Duped By Wall Street Have Some Options

• May 20, 2003

Seeing Evidence in E-Mails After the Wall Street Settlement

• May 08, 2003

CMGI Holder/Claim: Charges Merrill with Unlawful Conduct

• May 01, 2003

Caution: This Hybrid Can Sting

• March 09, 2003

Legal Briefs? Not In 2002

• February 01, 2003

Laid-Off Brokers Owe Ex-Employers

• September 11, 2002

California Securities Arbitrations at a Standstill

• September 01, 2002

Merrill May Face Class Action Litigation

• May 21, 2002

Bettin’ It All on Jack?

• April 01, 2002

The Road To Fiduciary Responsibility Via Litigation

• March 06, 2002

Brokerage Firms Despite Costly Sanctions, They Overlooked Scams

• March 03, 2002

Betrayed?

• March 01, 2002

Letter From Broker on the Run Blames Employers for Being Lax

• January 26, 2002

Bankruptcy Filing Says Fraud Suspects Are Without Assets

• December 05, 2001

Broker Made 600K, One Couple Claims

• January 29, 2001

Seniors Who Bought Pay Phones Cry Foul

• December 19, 2000

Crybaby Investors

• November 27, 1995

Lawyers Heeding Cries of Prudential Investors

• December 11, 1994