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Category: Securities Arbitration

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

  • November 04, 2023
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FINRA Sanctions Former Financial Advisor Richard Hogan Over Selling Away Transactions

  • July 28, 2022
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Western International Securities GWG L Bond Alert

  • June 22, 2022
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Robinhood March 2020 Outage Investment Losses?

  • June 06, 2022
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KlaymanToskes Secures a Full Recovery in FINRA Arbitration Award

  • May 20, 2022
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GWG Bankruptcy Prepares for Creditor’s Committee Meeting as L Bond Losses Loom

  • May 04, 2022
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Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft

  • February 23, 2022
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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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DAVID MELILLI INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor David Melilli

  • November 12, 2021
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ATTENTION ROYAL ALLIANCE GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims Seeking Millions in GPB Capital Losses Against Royal Alliance as GPB Capital Develops Plan to Return Investor Funds

  • November 12, 2021
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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
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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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Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes

  • September 22, 2021
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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
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SCOTT HANANEL AEGIS CAPITAL INVESTOR ALERT: Former Melville, NY Broker Facing Customer Disputes on Investment Losses

  • August 23, 2021
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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
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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
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ATTENTION ROBINHOOD CUSTOMERS: KlaymanToskes Investigates January 2021 Trading Restrictions on Gamestop

  • July 12, 2021
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NOTICE TO ROBINHOOD FINANCIAL LLC INVESTORS – KlaymanToskes is Pursuing Arbitration Claims for Robinhood Trading Restrictions

  • July 09, 2021
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Joseph Chu, California Resources Corporation, Denbury Resources and Whiting Petroleum Investigation

  • July 09, 2021
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FINRA Orders Sanctuary Securities, Inc. to Pay $530K for Non-Traditional ETF Supervisory Failures

  • July 07, 2021
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FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts

  • July 06, 2021
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FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts

  • July 06, 2021
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NOTICE TO CLIENTS OF KEVIN MCCALLUM WITH LPL FINANCIAL: KlaymanToskes Commences Investigation of Former LPL Broker Kevin McCallum in Light of FINRA Suspension

  • July 05, 2021
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FINRA Orders Historic Financial Penalty Against Robinhood Financial LLC for Systemic Supervisory Failures

  • July 01, 2021
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FINRA Fines Independent Financial Group $200,000 for Failure to Supervise Alternative Investment Recommendations

  • June 30, 2021
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Sigma Financial Corporation Facing $4.5M in Potential Damages in Customer Disputes

  • June 28, 2021
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Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines

  • June 26, 2021
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NORTHSTAR FINANCIAL SERVICES (Bermuda) INVESTMENT RECOVERY: KlaymanToskes Investigates Investor Losses

  • June 21, 2021
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Former LPL Financial Advisor Paul McGonigle Investigation

  • June 15, 2021
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ATTENTION SPAC INVESTORS: KlaymanToskes Investigates Losses in Excess of $250,000 from Investments in Electric Vehicle Industry Stocks Recommended by Full-Service Brokerage Firms

  • April 30, 2021
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LORDSTOWN MOTORS CORP CLASS ACTION ALERT: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Truck Manufacturer

  • March 22, 2021
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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
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GPB CAPITAL INVESTOR ALERT: KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors

  • July 02, 2020
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ATTENTION ELDORADO RESORTS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Eldorado Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION CAESARS ENTERTAINMENT EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Caesars Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION WYNN RESORTS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Wynn Resorts Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION MGM RESORTS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in MGM Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION LAS VEGAS SANDS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Las Vegas Sands Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION CEDAR FAIR EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Cedar Fair Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION SIX FLAGS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Six Flags Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION PENN NATIONAL GAMING EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Penn National Gaming Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION LIVE NATION ENTERTAINMENT EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Live Nation Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION WALT DISNEY COMPANY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Disney Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 07, 2020
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ATTENTION ALASKA AIR EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Alaska Air Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION SOUTHWEST AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Southwest Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION DELTA AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Delta Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION UNITED AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in United Airlines Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION AMERICAN AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in American Airlines Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION NORWEGIAN EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Norwegian Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION CARNIVAL EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained by Investors in Carnival Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION ROYAL CARIBBEAN EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Royal Caribbean Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION OCCIDENTAL PETROLEUM EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Occidental Petroleum Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION HERTZ EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Hertz Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

  • May 06, 2020
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ATTENTION CALLON PETROLEUM EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Callon Petroleum Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION CHESAPEAKE ENERGY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Chesapeake Energy Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION DENBURY RESOURCES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Denbury Resources Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION BORR DRILLING EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Borr Drilling Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION DIAMOND OFFSHORE DRILLING EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Diamond Offshore Drilling Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION CHAPARRAL ENERGY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Chaparral Energy Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION CONTINENTAL RESOURCES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Continental Resources Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION YUMA ENERGY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Yuma Energy Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION CALIFORNIA RESOURCES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in California Resources Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION WHITING PETROLEUM EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Whiting Petroleum Stock with Full-Service Brokerage Firms

  • May 05, 2020
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ATTENTION FMSBONDS CUSTOMERS WHO PURCHASED FRONTIER COMMUNICATIONS BONDS: KlaymanToskes Commences Investigation on Behalf of Investors

  • April 24, 2020
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ATTENTION MORGAN STANLEY CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

  • April 24, 2020
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Recover Investment Losses Sustained in Coronavirus (COVID-19) Pandemic

  • April 16, 2020
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NOTICE TO TD AMERITRADE CUSTOMERS WITH ADVISORDIRECT ACCOUNTS MANAGED BY SHEAFF BROCK INVESTMENT ADVISORS – The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation into Trading Losses in Put Option Strategy

  • February 02, 2018
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NOTICE TO MORGAN STANLEY CLIENTS: KlaymanToskes Announces Investigation of Morgan Stanley Following $8 Million in SEC Fines for Exchange Traded Fund Violations

  • February 21, 2017
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Another Investor Lawsuit Filed Over Puerto Rico Bonds

  • January 17, 2017
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KlaymanToskes Wins $2.25 Million FINRA Arbitration Award in Favor of Retired UPS Executive With Concentrated Stock Position Against Citigroup Global Markets

  • February 10, 2016
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The Securities Arbitration Law Firm of KlaymanToskes Announces Investigation into UBS ETRACS ETNs Linked to Declining Energy and Commodity Prices

  • October 09, 2015
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The Securities Arbitration Law Firm of KlaymanToskes Announces Investigation into Virtus AlphaSector Funds Managed by F-Squared Investments

  • June 25, 2015
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LPL Financial LLC Ordered To Pay Restitution To Investors and Fines To FINRA for Failure To Supervise Sale of Non-Traded REITs, Variable Annuities and Exchange Traded Funds

  • May 08, 2015
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National Senior Investor Initiative Report Points To Need For Elder Financial Fraud Protection

  • May 01, 2015
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Proposed Rule Change Protect Investors Retirement Funds From Abusive Brokerage Firm Sales Practices

  • April 21, 2015
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Why Puerto Rico Investors Pursuit of Tax Free Income Led to Financial Ruin

  • April 16, 2015
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What Legal Recourse Exists For Hedge Fund Investors In BlackGold Opportunity Fund LP?

  • April 10, 2015
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FINRA Launches Revamped Website to Assist Investors Make Better Investment Decisions

  • April 07, 2015
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Recent IBM Class Action Lawsuit Provides Investors Loss Recovery Options

  • March 27, 2015
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FINRA Arbitration Claim Filed By the Securities Arbitration Law Firm of KlaymanToskes and Carlo Law Offices Against UBS on Behalf of Retired Couple For Losses in Puerto Rico Municipal Bonds and UBS Proprietary Closed-End Funds

  • March 16, 2015
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The Securities Arbitration Law Firm of KlaymanToskes Investigates UBS Financial Services in Connection With the Sale of UBS V10 Enhanced FX Carry Strategy

  • February 27, 2015
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GWG Renewable Secured Debentures

  • December 05, 2014
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Jodie L. Miller – LPL, VALIC, Tri-Med Corporation

  • November 19, 2014
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Michael J. Frew – Wells Fargo Advisors

  • November 18, 2014
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Marc Halan Baldinger – LPL Financial

  • November 17, 2014
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American Realty Capital Properties – ARCP

  • November 11, 2014
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Susan Elizabeth Walker – Ameriprise Financial

  • November 11, 2014
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American Realty Capital Just One Problem for CEO Nicholas Schorsch

  • November 11, 2014
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John Charles Hanson – Northwestern Mutual Investment Services

  • November 06, 2014
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Puerto Rico Electric Power Authority restructuring risk spurs securities cases against brokerages, lawyer says

  • November 06, 2014
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Likely default of Puerto Rican utility haunts brokers, muni fund managers

  • November 06, 2014
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Heidi Marinka Wivolin – NEXT Financial Group

  • November 06, 2014
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Michael John Smeriglio, III – MetLife Securities

  • November 05, 2014
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Edward Stringer Samson – American Portfolios Financial Services

  • November 04, 2014
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David Phillip Morabito – Oppenheimer & Co.

  • October 31, 2014
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Steven R. Rosh – TransAmerica Financial Advisors

  • October 31, 2014
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Benjamin Doyle Maleche – JPMorgan Securities

  • October 27, 2014
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James “Jeb” Bashaw – LPL Financial

  • October 14, 2014
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Selling away claims behind LPL’s termination of James “Jeb” Bashaw

  • October 14, 2014
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Eric William Johnson – RedRidge Securities

  • October 10, 2014
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Glanmore Property Fund

  • October 04, 2014
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Joseph T. Pappalardo

  • September 29, 2014
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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
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FINRA Issues New Investor Alert, Frontier Funds—Travel With Care

  • September 16, 2014
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Jeffrey Brian Meyer

  • August 26, 2014
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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
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Matthew A. Bell

  • July 19, 2014
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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
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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
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Concentrate on Concentration Risk

  • June 02, 2014
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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
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UBS says $70M AEELA claim ‘meritless’

  • May 22, 2014
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AEELA reclama $70 millones a UBS

  • May 20, 2014
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AEELA radica reclamación de $70 millones contra UBS

  • May 20, 2014
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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
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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
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INVESTOR ALERT: KlaymanToskes Notifies UPS Employees Who Sustained Losses Due To Maintaining a Concentrated, Leveraged Position In UPS Stock During 2008-2009 That Time Still Remains To Recover Your Losses Through Securities Arbitration

  • May 15, 2014
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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
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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
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FINRA sanctions OFS for bond markups

  • March 27, 2014
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FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments

  • March 24, 2014
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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
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FINRA Issues New Investor Alert, Bitcoin: More than a Bit Risky

  • March 12, 2014
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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
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Florlena Cortez

  • February 28, 2014
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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
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James E. Neilsen

  • February 27, 2014
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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
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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
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George J. Bussanich

  • January 03, 2014
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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
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Finra to Crack Down on Brokers With High Number of Complaints

  • January 03, 2014
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FINRA Releases 2014 Regulatory and Exam Priorities

  • January 03, 2014
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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
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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
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FINRA Bars Two Brokers for Stealing $300,000 From Elderly Widow With Diminished Mental Capacity

  • December 04, 2013
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Puerto Rico Closed-End Bond Funds

  • December 03, 2013
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Capital Solutions f/k/a Hennessey Fund

  • November 22, 2013
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NFL-approved broker barred by Finra

  • November 21, 2013
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KlaymanToskes Probing Sale Of Investments In UBS Willow Fund

  • November 16, 2013
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SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering

  • November 14, 2013
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Richard Allan Schwartz

  • November 08, 2013
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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
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FINRA Issues New Investor Alert: Closed-End Fund Distributions: Where is the Money Coming From?

  • November 07, 2013
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Fighting for the Investor: Restoring and Maintaining High-Profile Lifestyles

  • October 31, 2013
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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
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NASAA Top Investor & Small Business Threats

  • October 17, 2013
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Top 10 investor threats expanded to 15

  • October 17, 2013
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FINRA Issues New Investor Alert: Stock Up on Information Before Buying Stock

  • October 11, 2013
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National Center for Victims of Crime, FINRA Foundation Release Taking Action: An Advocate’s Guide to Assisting Victims of Financial Fraud

  • October 10, 2013
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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
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Investigation launched into sales of Puerto Rico bond funds

  • October 05, 2013
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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
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More Than 5,000 Stockbrokers From Expelled Firms Still Selling Securities

  • October 04, 2013
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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
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UBS-Lehman Class Action Opt-Out

  • September 30, 2013
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Concentrated Stock Positions

  • September 30, 2013
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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
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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
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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
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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
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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
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Diego F. Hernandez – AXA, Allstate

  • September 25, 2013
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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
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Tom Mikolasko – MMM Notes

  • September 24, 2013
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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
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FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio

  • September 17, 2013
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FINRA Foundation Survey Reveals Over 80 Percent of Respondents Are Exposed to Financial Scams

  • September 16, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates SII Investments Relating To The Supervision of Former SII Broker David Patrick Thomas

  • September 12, 2013
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Ramco & Assoc.-Westover Energy

  • September 12, 2013
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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
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Cleveland Elite Invest Millions in Fund Now Under FBI Scrutiny

  • September 12, 2013
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Michael James Blake – Grace Communities

  • September 11, 2013
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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
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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
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UBS to Pay $50 Million to Settle SEC Charges of Misleading CDO Investors

  • September 05, 2013
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Larry J. Dearman, Sr. – Securities America

  • September 03, 2013
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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
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FINRA Warns Investors of Marijuana Stock Scams

  • August 20, 2013
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Be wary of financial sales pitches

  • August 18, 2013
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Bre-X Minerals, Ltd.

  • July 23, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Securities Arbitration Claims Regarding Bre-X Investments

  • July 23, 2013
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Darrell Smith

  • July 22, 2013
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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
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SEC Halts Texas-Based Forex Trading Scheme

  • July 19, 2013
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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
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FINRA Issues New Investor Alert: Alternative Funds Are Not Your Typical Mutual Funds

  • June 12, 2013
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FINRA, SEC Warn Investors: Don’t Trade on Pump-And-Dump Stock Emails

  • June 12, 2013
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Robert Gist – ENCAP Technologies, LLC

  • June 12, 2013
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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
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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
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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
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SEC Charges Top Officials At Investment Adviser in Scheme to Hide Theft From Pension Fund of Detroit Police and Firefighters

  • June 10, 2013
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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
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FINRA to warn investors on alternative securities

  • June 05, 2013
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FINRA Orders Wells Fargo and Banc of America to Reimburse Customers More Than $3 Million for Unsuitable Sales of Floating-Rate Bank Loan Funds

  • June 04, 2013
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SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market

  • June 03, 2013
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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
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Florida-Based Stock Promoter Charged with Lying to SEC Investigators

  • May 31, 2013
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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
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SEC Charges NASDAQ for Failures During Facebook IPO

  • May 29, 2013
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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
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S. Mark Powell – Atlantic Trust

  • May 28, 2013
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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
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Mariner Access Funds

  • May 24, 2013
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KlaymanToskes Investigates Potential Claims Against Merrill Lynch Relating to Mariner Access Fund and Mariner 2X Access Fund

  • May 24, 2013
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SEC Charges Dallas-Based Trader With Front Running

  • May 24, 2013
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Blake B. Richards – LPL – Ameriprise

  • May 23, 2013
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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
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SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds

  • May 23, 2013
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SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm

  • May 22, 2013
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Secretary of State William F. Galvin reaches settlements with firms over REIT sales

  • May 22, 2013
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LPL to Pay $9 Million for Systemic Email Failures and for Making Misstatements to FINRA

  • May 21, 2013
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FINRA, SEC Issue Investor Alert on Pension or Settlement Income Streams

  • May 16, 2013
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Mamtek Bonds-Morgan Keegan

  • May 14, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Relating To The Sale of Mamtek Bonds by Morgan Keegan

  • May 14, 2013
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FINRA Fines Three Firms $900,000 for Inadequate Anti-Money Laundering Programs

  • May 09, 2013
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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
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UBS Willow Fund Investors May Be Able To Recover Their Losses

  • April 30, 2013
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KlaymanToskes Investigates Claims Relating to Losses to Sustained In Notes Sold By William David Thomas, Including Integrity Capital Notes

  • April 29, 2013
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UBS Willow Fund

  • April 23, 2013
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Success Trade Securities Notes

  • April 22, 2013
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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
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FINRA Files Temporary Cease-and-Desist Order Against Success Trade Securities and CEO Fuad Ahmed to Halt Fraud

  • April 22, 2013
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Diversified Lending Group Notes

  • March 26, 2013
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Liberty Silver Corp/John Thomas Fin.

  • March 15, 2013
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Phil Scott Group/Merrill Lynch

  • March 14, 2013
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Notice To All Customers of The Phil Scott Group and Merrill Lynch From The Securities Arbitration Law Firm of KlaymanToskes

  • March 14, 2013
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SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance

  • March 12, 2013
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FINRA Bars Florida Broker for Unsuitable Recommendations and Unapproved Securities Transactions Involving 31 NFL Players

  • March 07, 2013
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KlaymanToskes Investigates Claims Relating to Tracy Morgan Spaeth and Sales of ProfitStars Int’l Corp.

  • February 28, 2013
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KlaymanToskes Investigates Potential Claims Relating to Gregory John Campbell

  • February 28, 2013
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UPS Employees

  • February 16, 2013
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KlaymanToskes Investigates Claims Concerning The Hartford Floating Rate Fund

  • February 12, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Continues To Investigate Claims Against LPL Financial on Behalf of Former Customers of Alberto Neira Who Invested in Silver Oak Leasing

  • February 11, 2013
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Silver Oak Leasing – Alberto Neira

  • February 11, 2013
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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 LPL’s Settlement Of REIT Charges

  • February 06, 2013
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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
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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
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors Who Sustained Losses in the UBS Willow Fund, L.L.C.

  • January 23, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Regarding Great American Advisors and David Brouwer

  • January 16, 2013
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David Brouwer; Equity-Linked Notes

  • January 16, 2013
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Warsowe Debentures

  • January 14, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors Who Sustained Losses in ETFs

  • January 11, 2013
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Finra reports dramatic jump in restitution in 2012

  • January 09, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Customers of LPL Financial and Alberto Neira

  • January 09, 2013
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Jason Knapp/Dawson James Customers

  • January 08, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Against Dawson James, on Behalf of Customers Of Jason T. Knapp

  • January 08, 2013
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Citigroup Shareholders Who Maintained Large Concentrated Positions and Are Eligible to Participate In The Settled Class Action Against Citigroup

  • January 08, 2013
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Finra fines LPL, four other firms for mutual fund lapses

  • January 02, 2013
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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
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FINRA Sanctions Five Firms $4.4 Million for Using Municipal and State Bond Funds to Pay Lobbyists

  • January 02, 2013
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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
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Wells Timberland REIT Investors

  • December 19, 2012
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Wells Timberland REIT

  • December 19, 2012
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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
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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
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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
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Massachusetts sues LPL over nontraded REIT sales

  • December 12, 2012
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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
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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
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Diamondback to Close After Investors Withdraw $520 Million

  • December 10, 2012
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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
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SEC, FINRA Issue New Investor Alert: Year-End Investment Considerations for Individual Investors

  • December 06, 2012
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REITs Purchased From LPL Financial

  • December 05, 2012
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Lehman Principal Protected Notes

  • December 04, 2012
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FINRA ponders broker bonus disclosure rule

  • November 30, 2012
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FINRA Files Complaint Charging the President and Owner of Brooklyn Brokerage Firm TWS Financial for Operating Fraudulent Scheme Targeting Polish Community

  • November 28, 2012
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KlaymanToskes Investigates Claims On Behalf of Coast Access II LLC Hedge Fund Investors

  • November 26, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Former Customers of LPL and Jeffrey A. Cashmore

  • November 19, 2012
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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
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SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings

  • November 16, 2012
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SEC Charges Purported Credit Union and Its Principal with Offering Fraud

  • November 08, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf Of Bernstein Multi Strategy Fixed Income Hedge Fund Investors

  • November 05, 2012
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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
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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
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Judge Denies Merrill Attempt To Overturn $10 Million Arbitration Award

  • October 30, 2012
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Bad news for Lerner in REIT flap

  • October 29, 2012
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KlaymanToskes Investigates Claims On Behalf of Geneva Organization Tenant-in-Common Investments

  • October 25, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims on Behalf of Victims of Nicholas J. Polito, Jr.

  • October 24, 2012
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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
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Finra Sanctions David Lerner Associates $14M

  • October 22, 2012
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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
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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
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Reverse Convertibles

  • October 18, 2012
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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
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Behringer Harvard Strategic Opp. Fund

  • October 17, 2012
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Ellen Erenstein and Investors Capital Corp.

  • October 16, 2012
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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
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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
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Non-Traded REITs in FINRA’s Cross Hairs

  • October 02, 2012
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Advanced Equities

  • September 19, 2012
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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
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The Securities Arbitration Law Firm of KlaymanToskes Files $1,000,000 Claim Against LPL Financial

  • September 18, 2012
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The Securities Arbitration Law Firm Investigates Claims On Behalf of Customers of Connecticut-Based Broker, Stephen B. Blankenship

  • September 13, 2012
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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
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SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts

  • September 10, 2012
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Gary Harrison Lane Customers

  • September 06, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Against Merrill Lynch on Behalf of Customers of Gary Harrison Lane

  • September 06, 2012
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Clinton Fraley/Wealth by Design

  • August 28, 2012
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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
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Widow sues over losses from investments based on ‘lunar cycles’

  • August 27, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Investors of Behringer Harvard Strategic Opportunity Fund I

  • August 24, 2012
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NASAA Identifies Emerging and Persistent Investor Threats

  • August 23, 2012
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FINRA Expels WJB Capital Group, Inc. and Bars CEO and CFO for Misstating Financial Records and Net Capital Deficiencies

  • August 16, 2012
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SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks

  • August 14, 2012
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Ameriprise, LPL Face More Claims Over Non-Traded REITs

  • August 01, 2012
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FINRA Expels Biremis, Corp. and Bars President and CEO Peter Beck

  • July 31, 2012
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Delphinus CDO – Mizuho Securities

  • July 30, 2012
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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
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SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO

  • July 23, 2012
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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
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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
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JPMorgan Funds/Strategic Portfolios

  • July 18, 2012
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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
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Insight Real Estate LLC 2007-A Debentures

  • July 17, 2012
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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
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Peregrine Financial Recovery

  • July 12, 2012
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Thompson National Properties Notes

  • July 12, 2012
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Many Regulators Put Their Attention on How JPMorgan Marketed Its Funds

  • July 12, 2012
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Leveraged and Inverse ETFs

  • July 11, 2012
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FINRA Issues New Investor Alert: Exchange-Traded Notes—Avoid Unpleasant Surprises

  • July 11, 2012
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Tenants-In-Common–DBSI

  • July 10, 2012
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Notice From the Securities Arbitration Law Firm of KlaymanToskes to All Bruce M. Harada Customers

  • July 10, 2012
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Wall Street’s Captive Arbitrators Strike Again

  • July 09, 2012
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Radio pitchman’s investment empire under siege by financial regulators

  • July 09, 2012
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Thomas Kelly – M&T Securities

  • July 09, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf of Customers of MSSB Broker Delsa Thomas

  • July 05, 2012
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FINRA Launches Pilot Program For Large Arbitration Cases

  • July 03, 2012
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Inland Western REIT-Retail Properties of America

  • June 29, 2012
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Bruce M. Harada Customers

  • June 29, 2012
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Philip A. Falcone and Harbinger Charged with Securities Fraud

  • June 28, 2012
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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
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Wayne Palmer – National Note of Utah

  • June 25, 2012
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Notice to All Customers of Darin Bradley Whittington From the Securities Arbitration Law Firm of KlaymanToskes

  • June 22, 2012
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Darin Bradley Whittington Customers

  • June 22, 2012
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FINRA Fines Merrill Lynch $2.8 Million for Overcharging Customers; $32 Million in Remediation Paid to Affected Customers

  • June 21, 2012
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Gurudeo “Buddy” Persaud Customers

  • June 21, 2012
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Did you Invest in Paladin Realty Income Properties?

  • June 21, 2012
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Mountain V Oil and Gas Losses

  • June 21, 2012
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Two Accused of Misusing Pension Funds

  • June 18, 2012
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Burton Douglas Morriss Customers

  • June 13, 2012
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Benjamin Daniel DeHaan Customers

  • June 13, 2012
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Certified Financial Planner Board Disciplines 24 Advisors

  • June 13, 2012
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SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme

  • June 13, 2012
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Behringer Harvard Short Term Opportunities

  • June 13, 2012
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OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis

  • June 06, 2012
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FINRA Hearing Panel Fines Brookstone Securities $1 Million for Fraudulent Sales of CMOs to Elderly

  • June 04, 2012
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Giancarlo Ciocca Customers

  • May 29, 2012
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Fidelity-Facebook Execution Losses

  • May 24, 2012
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A&O Resource Management

  • May 22, 2012
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SEC Charges Two Feeders for One of South Florida’s Largest-Ever Ponzi Schemes

  • May 22, 2012
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N.Y. AG alleges securities fraud

  • May 21, 2012
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Largest nontraded REIT in SEC probe

  • May 10, 2012
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Daniel Spitzer Customers

  • May 10, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation On Behalf of Arch Coal Shareholders With Large Concentrated Positions

  • May 07, 2012
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Andre Mari Gonzales Customers

  • May 07, 2012
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Nontraded REIT rules roiled by appraisal issue

  • May 07, 2012
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Investigation On Behalf of David Zeng and Merrill Lynch Customers

  • May 02, 2012
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David Zeng Customers

  • May 02, 2012
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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
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SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers

  • May 01, 2012
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FINRA Sanctions Four Firms $9.1 Million for Sales of Leveraged and Inverse Exchange-Traded Funds

  • May 01, 2012
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CIP Leveraged Fund

  • April 30, 2012
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KBS REITs

  • April 29, 2012
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LaeRoc Income Funds

  • April 29, 2012
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REITs Spring an Unnerving Surprise

  • April 25, 2012
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Stone & Youngberg-CMOs, Inverse Floaters

  • April 25, 2012
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The Phil Scott Team and Merrill Lynch

  • April 24, 2012
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Cantone Research-Christine Cantone

  • April 23, 2012
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Cardiac Network Promissory Notes

  • April 23, 2012
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Robert H. Van Zandt

  • April 23, 2012
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FISN, Inc., Non-CD Investments

  • April 20, 2012
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FINRA to bring cases over leveraged, inverse ETFs

  • April 19, 2012
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Richard A. Finger Customers

  • April 16, 2012
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Matthew D. Hutcheson Customers

  • April 16, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims On Behalf Of Victims of Martin Feibish

  • April 14, 2012
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Martin Feibish Investors

  • April 14, 2012
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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
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SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research “Huddles”

  • April 13, 2012
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David Lerner’s brokerage fined $2.3 million for misleading investors

  • April 04, 2012
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FINRA investigating exchange-traded notes: spokesperson

  • March 30, 2012
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Cornerstone Core Properties REIT

  • March 30, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation On Behalf Of Investors Who Sustained Losses in Cornerstone Core Properties REIT

  • March 30, 2012
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NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

  • March 27, 2012
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Feds Say Wells Fargo Won’t Turn Over Documents

  • March 26, 2012
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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
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SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds

  • March 22, 2012
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FINRA Fines Citi International Financial $600,000 and Orders Restitution of $648,000 for Excessive Markups and Markdowns

  • March 19, 2012
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SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors

  • March 16, 2012
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Advisor Charged With Murdering Client To Cover Up Fraud

  • March 15, 2012
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Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case

  • March 05, 2012
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SEC Releases Risk Alert on Unauthorized Trading

  • February 29, 2012
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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
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KlaymanToskes Investigates Claims on Behalf of Former Customers of Richard Harold Byerly

  • February 09, 2012
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims on Behalf of Former Customers of Robert F. Hockensmith, Jr.

  • February 09, 2012
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Lyon Capital Management and Bryn Mawr

  • February 08, 2012
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Jason Bo-Alan Beckman and Oxford PCG

  • February 08, 2012
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First Solar

  • February 08, 2012
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Eastman Kodak Co.

  • February 07, 2012
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FINRA Charges Charles Schwab & Co With Violating FINRA Rules by Using Class Action Waiver in Customer Agreements

  • February 07, 2012
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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
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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
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Atlas Energy Master LP

  • February 06, 2012
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SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis

  • February 02, 2012
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Behringer Harvard Short-term Opportunity Fd

  • February 01, 2012
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FINRA sues David Lerner founder for misleading investors

  • January 31, 2012
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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
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FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports

  • January 23, 2012
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Alpha Natural Resources

  • January 15, 2012
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KlaymanToskes Investigates Claims On Behalf of Investors Who Sustained Losses in the UBS Willow Fund

  • January 05, 2012
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SEC CHARGES FORMER FANNIE MAE AND FREDDIE MAC EXECUTIVES WITH SECURITIES FRAUD

  • December 16, 2011
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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
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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
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Harbinger Capital

  • December 13, 2011
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SEC Charges Wachovia With Fraudulent Bid Rigging in Municipal Bond Proceeds

  • December 09, 2011
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SEC, U.S. Attorney and FBI Announce 13 Charged in Connection with Securities Kickback Schemes

  • December 02, 2011
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SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections

  • December 02, 2011
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Jack Kleck-LPL Financial

  • November 30, 2011
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B-D to pay $2M to clients over Provident Royalties private placements

  • November 29, 2011
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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
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FINRA Fines Wells Investment Securities $300,000 for Use of Misleading Marketing Materials for REIT Offering

  • November 23, 2011
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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
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SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement

  • November 16, 2011
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The Securities Arbitration Law Firm of KlaymanToskes Investigates Sale of Gibraltar Partners and Rahfco Funds by Edward Jones Brokers

  • November 15, 2011
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FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds

  • November 15, 2011
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Citigroup, Deutsche Bank Pay $165 Million To Settle Claims They Misled Credit Unions

  • November 15, 2011
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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
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MF Global’s Bondholders May Get as Little as 10% of Investment, Fitch Says

  • November 11, 2011
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The Securities Arbitration Law Firm of KlaymanToskes Continues To Investigate Claims Against Underwriters of MF Global Notes

  • November 07, 2011
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MF Global Notes

  • November 02, 2011
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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
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Notice to Lehman Brothers 100% Principal Protection Note Holders: Explore Your Legal Options in Light of November 4, 2011 Voting Deadline

  • November 01, 2011
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Investors in failed Morgan Keegan mutual funds to receive partial reimbursement

  • November 01, 2011
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Municipal Bond Arbitrage Funds

  • November 01, 2011
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Investors Opt for Arbitration Panels Without Ties to Wall Street

  • October 28, 2011
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FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures

  • October 25, 2011
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Desert Capital REIT

  • October 24, 2011
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Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market

  • October 20, 2011
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Investment Broker Guilty in Ponzi Scheme

  • October 12, 2011
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‘Selling away’ again a concern for regulators

  • October 11, 2011
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The Securities Arbitration Law Firm of KlaymanToskes Obtains $247,000 FINRA Arbitration Award on Behalf of Private Placement Investor

  • October 04, 2011
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FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme

  • October 04, 2011
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FINRA Issues Investor Alert on Public Non-Traded REITs

  • October 04, 2011
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Bank of America

  • October 02, 2011
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Morgan Keegan Bond Funds

  • October 01, 2011
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David Lerner Assoc. – Apple REITs

  • September 30, 2011
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Tough Finra proposal aims to bring nontraded-REIT pricing up to par

  • September 30, 2011
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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
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Gibraltar Partners and Rahfco Funds

  • September 29, 2011
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Hedge Fund Sues Morgan Stanley Over Sino-Forest Options Deal

  • September 23, 2011
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SEC moves to limit firms’ bets against clients

  • September 21, 2011
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FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business

  • September 14, 2011
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FINRA Fines Five Broker Dealers for Improper Handling Fees

  • September 14, 2011
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FINRA Warns Investors of Gold Stock Scams

  • August 26, 2011
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FINRA Suspends and Fines Trader; Orders Restitution for Manipulative Trading that Artificially Impacted the Market Through a Concealed Account

  • August 18, 2011
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Commonwealth Financial Network, LPL Sold Troubled Private Placement

  • August 15, 2011
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FINRA Fines Citigroup $500,000 for Failing to Supervise Sales Assistant Who Misappropriated Customer Funds

  • August 10, 2011
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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
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Wachovia Preferreds, Bonds/Notes

  • August 06, 2011
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Meridian Fund/Darren Berg

  • August 03, 2011
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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
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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
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Longtop Financial Technologies

  • August 01, 2011
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FINRA Fines SunTrust Robinson Humphrey, SunTrust Investment Services a Total of $5 Million for Auction Rate Securities Violations

  • July 26, 2011
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Merrill Mort. Pass-Through Certificates

  • July 20, 2011
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David Lerner Associates’ Fiduciary Compliance on Apple REITs Under Investigation

  • June 20, 2011
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David Lerner Associates’ Fiduciary Compliance on Apple REITs

  • June 18, 2011
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COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs

  • June 17, 2011
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Chinese Reverse Merger Companies

  • June 16, 2011
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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
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SEC Issues Bulletin on Risks of Investing in Reverse Merger Companies

  • June 15, 2011
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Goldman Sachs Agrees to Stop Trading “Huddles”, Pays $10 Million Civil Fine

  • June 09, 2011
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COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs

  • June 09, 2011
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COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs

  • June 09, 2011
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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
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SEC, FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection

  • June 03, 2011
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American Superconductor Corp.

  • June 01, 2011
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Broker-Dealer Omni Brokerage Closes Its Doors

  • June 01, 2011
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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
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Life Partners Holdings Life Settlements

  • May 27, 2011
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The Securities Arbitration Law Firm of KlaymanToskes Launches An Investigation On Behalf Of Life Partners Holdings Investors Who Purchased Life Settlements

  • May 27, 2011
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FINRA Fines Credit Suisse Securities $4.5 Million and Merrill Lynch $3 Million for Misrepresentations Related to Subprime Securitizations

  • May 26, 2011
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Retired UPS employee files $4M suit

  • April 25, 2011
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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
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The Securities Arbitration Law Firm of KlaymanToskes Files $4 Million Claim Against Merrill Lynch On Behalf of Retired UPS Employee

  • April 25, 2011
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Brokerages Wrestle With New Suitability Rules

  • April 19, 2011
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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
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FINRA Panel Orders Citigroup to pay $54.1 million to ASTA/MAT Investors

  • April 14, 2011
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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
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Broker-Dealers Sanctioned by FINRA For Lack of Due Diligence

  • April 11, 2011
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Ameriprise unit nears $50 million settlement

  • March 31, 2011
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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
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Goldman Sachs Hudson CDO Securities

  • March 01, 2011
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FedEx Employees

  • March 01, 2011
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Charles Schwab’s Total Bond Market Fund

  • March 01, 2011
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Stone & Youngberg Municipal Advantage Fund

  • March 01, 2011
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1861 Capital Management Funds

  • March 01, 2011
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GEM Capital Arbitrage Fund

  • March 01, 2011
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Goldman Sachs ABACUS 2007-AC1 CDO

  • March 01, 2011
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Rhonda Breard and Breard & Associates Wealth Management

  • March 01, 2011
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CIT InterNotes

  • March 01, 2011
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Leveraged and Inverse Exchange-Traded Funds

  • March 01, 2011
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Banc of America CDOs

  • March 01, 2011
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Oppenheimer Bond

  • March 01, 2011
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Bernard L. Madoff Ponzi-Scheme

  • March 01, 2011
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Freddie Mac Preferred Stock, Series Z

  • March 01, 2011
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Lehman Brothers Preferred Stock, Series J

  • March 01, 2011
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AIG Junior Subordinated Debentures, Series A-5

  • March 01, 2011
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Fannie Mae Preferred Stock, Series S

  • March 01, 2011
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Citigroup’s Falcon Plus Strategies Fund

  • March 01, 2011
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Bear Stearns Enhanced Leverage and High-Grade Hedge Funds

  • March 01, 2011
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Collateralized Debt Obligations Sold by Merrill Lynch and UBS

  • March 01, 2011
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Goldman Sachs Global Alpha Fund

  • March 01, 2011
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Fidelity´s Ultra-Short Bond Fund

  • March 01, 2011
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FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information

  • February 22, 2011
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Medical Capital Holdings

  • February 21, 2011
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Provident Royalties/Shale Royalties

  • February 20, 2011
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Citigroup’s ASTA and MAT Funds

  • February 19, 2011
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The Aravali Fund

  • February 18, 2011
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Charles Schwab’s Yield Plus Funds

  • February 17, 2011
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Warrants and Structured Warrants

  • February 14, 2011
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Collateralized Debt Obligations

  • February 13, 2011
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Preferred Financial Stocks

  • February 12, 2011
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Annuities

  • February 11, 2011
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Questar Capital

  • February 10, 2011
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Evergreen Ultra Short Opportunities Fund

  • February 08, 2011
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Auction Rate Securities

  • February 07, 2011
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Employee Stock Options

  • February 06, 2011
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Brookstreet Securities

  • February 05, 2011
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Fannie Mae Preferred Stock, Series T

  • February 03, 2011
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CSO (“Corporate Special Opportunities”) Partners Fund

  • February 02, 2011
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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
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SEC Charges Merrill Lynch for Misusing Customer Order Information and Charging Undisclosed Trading Fees

  • January 28, 2011
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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
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FINRA Orders Charles Schwab & Co. to Pay $18 Million to Investors for Improper Marketing of YieldPlus Bond Fund

  • January 12, 2011
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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
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FINRA Fines Goldman Sachs $650,000 for Failure to Disclose Wells Notices

  • November 09, 2010
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SEC Probes Citigroup Hedge Funds

  • November 09, 2010
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Notice From the Securities Arbitration Law Firm of KlaymanToskes To All Goldman Sachs Customers Who Invested in Hudson CDO Securities

  • November 02, 2010
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FINRA Orders Ferris, Baker Watts to Pay Close to $700,000 for Improper Sales of Reverse Convertible Notes

  • November 02, 2010
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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
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FINRA Proposes Permanently Giving Claimants the Option of All-Public Arbitration Panels

  • October 05, 2010
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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
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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
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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
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Montana’s Commissioner of Securities Files Complaint Against Securities America Regarding Its Sales of Medical Capital Notes

  • September 09, 2010
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HSBC Fined $375,000 by FINRA for Unsuitable Sales of Inverse Floating Rate CMOs to Retail Customers and Related Supervisory Failures

  • August 19, 2010
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FINRA Orders Merrill Lynch to Pay Over $2.5 Million In Connection With Unit Investment Trusts Sales Charge Discount Failures

  • August 19, 2010
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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
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SunTrust Investment Services Ordered by FINRA to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions

  • August 02, 2010
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Deutsche Bank Securities fined $7.5 Million for Negligent Misrepresentations Related to Subprime Securitizations

  • July 22, 2010
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FINRA Announces That It Will Make Additional Information About Brokers, Former Brokers Publicly Available Through BrokerCheck

  • July 21, 2010
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Goldman Sachs Agrees to Pay $550 Million to Settle SEC Charges Relating to the ABACUS CDO

  • July 20, 2010
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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
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Notice To All Provident Royalties Investors Eligible To Vote For Accepting or Rejecting The Consolidated Plan of Liquidation

  • May 26, 2010
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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
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Wall Street Banks Brace for Widening Financial Regulatory Probes

  • April 20, 2010
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SEC charges Goldman Sachs with defrauding investors

  • April 16, 2010
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SEC Files Securities Fraud Action Against Goldman Sachs Concerning Its ABACUS 2007-AC1 CDO

  • April 16, 2010
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The Securities Law Firm of KlaymanToskes Announces that the SEC and FINRA Have Charged Morgan Keegan Concerning Its RMK Bond Funds

  • April 07, 2010
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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
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FINRA Expels Provident Asset Management for Marketing Fraudulent Private Placements Offered by Affiliate in Ponzi Scheme

  • March 30, 2010
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Federal Prosecutors Charge Rhonda Breard with Fraud

  • March 11, 2010
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The Washington State Department of Financial Institutions Issues Consumer Alert Regarding Rhonda Breard and Breard & Associates Wealth Management

  • March 03, 2010
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Investors Lose Key Provision that Would Have Created “Fiduciary Duty” Standard for Securities Brokers

  • March 02, 2010
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The Securities Law Firm of KlaymanToskes Investigates Claims Against ING on Behalf of Victims of Rhonda Breard

  • March 01, 2010
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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
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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
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NY Attorney General Andrew Cuomo Files Martin Act Suit Against Bank of America, Former CEO Kenneth Lewis

  • February 04, 2010
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SEC Suffers Setback As Complaint Against Madoff Marketers is Dismissed

  • February 03, 2010
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Former Credit Suisse Broker Sentenced for Wire Fraud and Securities Fraud Charges

  • January 27, 2010
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Massachusetts to Bring First State Enforcement Action Against Securities America for Sale of Medical Capital Notes

  • January 26, 2010
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Securties America CEO Retires as Lawsuits Against the Brokerage Firm Continue to Rise

  • January 26, 2010
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SEC Charges Bank of America for Failing to Disclose Losses at Merrill Lynch

  • January 18, 2010
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FINRA Fines Pacific Cornerstone Capital, CEO $750,000

  • January 12, 2010
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KlaymanToskes Files Arbitration Claim Against Citigroup On Behalf of Single Mother Whose Account Was Over-Concentrated in Citigroup Stock

  • January 06, 2010
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Opt-Out Deadline for the Schwab YieldPlus Class Action is Only 7 Days Away, Announces The Securities Law Firm of KlaymanToskes

  • December 21, 2009
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Notice From the Securities Law Firm of KlaymanToskes to All Medical Capital Note Investors

  • December 17, 2009
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The Securities Law Firm of KlaymanToskes Announces the Launch of New Securities Arbitration and Litigation Blog

  • December 01, 2009
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Bank of America’s post-Lewis era has just as many problems

  • October 01, 2009
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Regulators: Fund firm hid losses

  • June 09, 2009
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Madoff Set to Disclose List of Holdings

  • December 31, 2008
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New wave of class actions filed in wake of subprime collapse

  • October 10, 2008
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‘Safe’ bets turn perilous as bonds fall

  • September 09, 2008
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Selling a Free Lunch

  • August 21, 2008
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Citi, Merrill To Buy Back ARS It Issued Or Sold

  • August 08, 2008
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SEC Probes ‘Vomitorium’ While More Patients Gag

  • August 07, 2008
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Wachovia Drops Some Brazilian Clients

  • July 22, 2008
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US law firm expects more investor claims (Bear Stearns)

  • June 24, 2008
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Many investor suits on CDOs may follow HSH case

  • February 25, 2008
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Firms Giving Loans To Cash-Hungry Clients

  • February 22, 2008
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Regulation: The Burden and the Backlash

  • February 01, 2008
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Merrill, Morgan Mull New Brokerage Account

  • August 30, 2007
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Goldmans in $2bn fund bail out

  • August 14, 2007
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When Arbitrators Are Their Own Judges

  • August 12, 2007
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Morgan Stanley Tests Fee-Based Advisory Plan

  • August 10, 2007
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Bear Stearns In A Seize And Desist Move

  • July 27, 2007
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Morgan Stanley To Keep Opening Fee-Based Brokerage Accts

  • June 07, 2007
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UBS Mulls Shuttering Fee-Based Brokerage Accounts

  • May 09, 2007
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Lawyers weigh into UBS fraud accusation

  • December 19, 2006
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NYSE, SEC Reach Settlement In Fraud Case

  • April 12, 2005
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Brokerages Sell Advice, Yet Shun Legal Responsibility

  • January 06, 2005
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Dueling Trend Lines on Complaints

  • February 11, 2004
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Over-Concentration Cases: More Fallout From Tech Bubble

  • December 14, 2003
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Atlanta Salomon Smith Barney office under scrutiny

  • November 10, 2003
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Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting

  • August 26, 2003
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Investors Duped By Wall Street Have Some Options

  • May 20, 2003
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Seeing Evidence in E-Mails After the Wall Street Settlement

  • May 08, 2003
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CMGI Holder/Claim: Charges Merrill with Unlawful Conduct

  • May 01, 2003
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Caution: This Hybrid Can Sting

  • March 09, 2003
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Legal Briefs? Not In 2002

  • February 01, 2003
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Laid-Off Brokers Owe Ex-Employers

  • September 11, 2002
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California Securities Arbitrations at a Standstill

  • September 01, 2002
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Merrill May Face Class Action Litigation

  • May 21, 2002
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Bettin’ It All on Jack?

  • April 01, 2002
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The Road To Fiduciary Responsibility Via Litigation

  • March 06, 2002
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Brokerage Firms Despite Costly Sanctions, They Overlooked Scams

  • March 03, 2002
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Betrayed?

  • March 01, 2002
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Letter From Broker on the Run Blames Employers for Being Lax

  • January 26, 2002
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Bankruptcy Filing Says Fraud Suspects Are Without Assets

  • December 05, 2001
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Broker Made 600K, One Couple Claims

  • January 29, 2001
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Seniors Who Bought Pay Phones Cry Foul

  • December 19, 2000
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Crybaby Investors

  • November 27, 1995
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Lawyers Heeding Cries of Prudential Investors

  • December 11, 1994
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