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Suitability
Recovery Options for Thomas Craig Bonds Investors
December 21, 2022
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SEC Sanctions Aegis Capital $2.3 million and Paul Gallivan $25,000 in Civil Penalties for Industry Violations Related to Structured Products
August 01, 2022
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National Securities Corporation GPB Capital Investor Alert
June 23, 2022
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Morgan Hill GWG L Bond Investor Alert
June 22, 2022
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Western International Securities GWG L Bond Alert
June 22, 2022
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National Realty Investment Advisers Partners Portfolio Fund Bankruptcy
June 15, 2022
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GWG L Bond Alert: GWG Notifies SEC of Late Filing
June 02, 2022
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Paul Murphy Calton & Associates Investment Losses?
June 01, 2022
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GWG L Bonds Commonly Asked Questions
May 31, 2022
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National Securities Corporation GWG L Bond Losses?
May 23, 2022
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Tony Barouti Facing GWG L Bond Investment Loss Claim
May 19, 2022
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John Crigler JRL Capital GWG L Bonds Investor Alert
May 18, 2022
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GWG L Bonds Losses with Colorado Financial Advisor Ann Louise Werts?
May 11, 2022
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Arizona Broker Janie Garza-Clark Barred by FINRA
May 11, 2022
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Lose Money Investing with NI Advisors’ Peter Po on GWG L Bonds?
May 09, 2022
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GWG Investment Losses Alert: What Firms Sold GWG L Bonds?
May 05, 2022
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Why is the SEC Investigating GWG Holdings and its L Bonds?
May 05, 2022
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Emerson Equity GWG L Bond Losses?
May 04, 2022
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Lost Money Investing in GWG L Bonds with Tony Barouti?
May 04, 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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Recover Morgan Stanley Tony Gallea Covered Call Options Investment Losses
April 29, 2022
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Recover GWG L Bond Investment Losses Following GWG Bankruptcy
April 27, 2022
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Tony Barouti, Emerson Equity GWG L Bond Broker and CEO of Los Angeles-Based Barouti Financial Services, Facing Investor Complaints
April 23, 2022
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GWG Fails to Meet Filing Obligations to NASDAQ as L Bond Investors Brace for GWG’s Possible Bankruptcy
April 13, 2022
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Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA
March 14, 2022
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Russian Stock Investment Losses Rattle Investors
March 09, 2022
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Former Hilltop Securities Broker Dennis Ayre Barred from Securities Industry
February 09, 2022
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Recover GWG Holdings L Bonds Investment Losses
February 07, 2022
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(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges
January 05, 2022
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Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million
January 01, 2022
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Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA
December 02, 2021
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Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading
November 30, 2021
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Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading
November 29, 2021
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ATTENTION KALOS CAPITAL GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 22, 2021
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ATTENTION GENEOS WEALTH MANAGEMENT GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 19, 2021
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ATTENTION FSC SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 18, 2021
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ATTENTION CROWN CAPITAL SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 17, 2021
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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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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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Thomas Brenner First American Securities Investor Alert: Barred Orrville, OH-Based Broker Facing Securities Fraud Charges
November 09, 2021
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TD AMERITRADE GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation Of and Files Claim Against TD Ameritrade Seeking in Excess of $500,000 on Behalf of Investor Who Purchased GPB Capital Through Advisor of TD AMERITRADE ADVISORDIRECT® Referral Program
November 08, 2021
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RICHARD WESSELT INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt
November 04, 2021
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UNITED PLANNERS GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages United Planners Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 25, 2021
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SAGEPOINT GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 25, 2021
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FSC SECURITIES GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages FSC Securities Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 22, 2021
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SAGEPOINT FINANCIAL GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 21, 2021
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Luke Johnson Coastal Investment Advisors Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Scottsdale, AZ Broker
October 20, 2021
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EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation
October 18, 2021
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Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading
October 12, 2021
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Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading
October 11, 2021
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GPB AUTOMOTIVE PORTFOLIO LP INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation of GPB Capital in Light of September 2021 Purchase Agreement
September 30, 2021
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ATTENTION MARTIN LERNER DAVID LERNER ASSOCIATES CUSTOMERS: National Investor Fraud Law Firm KlaymanToskes Investigates Broker in Light of $600,000 Energy 11 LP Customer Dispute
September 30, 2021
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David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds
September 28, 2021
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Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker
September 27, 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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ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations
September 16, 2021
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ALAN BERGER TRIAD ADVISORS CUSTOMER ALERT: National Investor Fraud Firm KlaymanToskes Continues to Investigate on Behalf of GPB Capital Investors
August 26, 2021
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NOTICE TO GPB AUTOMOTIVE ARETE WEALTH INVESTORS: National Investor Fraud Firm KlaymanToskes Continues to Investigate on Behalf of GPB Capital Investors
August 26, 2021
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ATTENTION GPB AUTOMOTIVE AEGIS CAPITAL INVESTORS: National Investor Fraud Law Firm Continues to Investigate Claims on Behalf of GPB Capital Investors
August 25, 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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NOTICE TO GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Over $1,000,000 for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors
August 23, 2021
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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 HJ SIMS BOCA RATON FL CUSTOMERS: KlaymanToskes Announces Investigation of HJ Sims’s Boca Raton, FL Branch in Light of the SEC’s Recent $250,000 Fine for Unsuitable Variable Interest Rate Structured Products Recommendations
August 11, 2021
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GPB CAPITAL TD AMERITRADE INVESTOR ALERT: KlaymanToskes Continues to Investigate TD Ameritrade’s ADVISORDIRECT® Referral Program for GPB Capital Investment Losses
August 10, 2021
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Invest in Energy 11 LP, Energy 12 LP, or Spirit of America Fund with David Lerner Associates? KlaymanToskes Continues Investigation
July 26, 2021
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Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation
July 21, 2021
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VXX Investor Through UBS? KlaymanToskes Investigates Firm’s VXX Sales Practices in Light of Recent SEC Settled Action
July 20, 2021
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Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint
July 19, 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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NOTICE TO ROBINHOOD FINANCIAL LLC INVESTORS – KlaymanToskes Commences Investigation for Robinhood Financial LLC (“Robinhood”) Investors With Losses in Excess of $100,000 Due to Firm’s Inappropriate Options Trading Approval
July 02, 2021
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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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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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BDC INVESTOR ALERT: KlaymanToskes Investigates Investor Losses in Response to Medley Capital Bankruptcy Filing Attributed to Portfolio Loan Losses Related to the COVID Pandemic
April 29, 2021
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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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FINRA Fines VALIC Financial Advisors $350,000 for Failure to Supervise Variable Annuity Sales Practices
March 19, 2021
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NOTICE TO WORKHORSE GROUP SHAREHOLDERS: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Company
March 16, 2021
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FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded and Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations
January 04, 2021
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FINRA Barred, NPB Financial Group Ex-Broker, Cynthia Diane Cowden for Unsuitable Investment Recommendations in Illiquid Non-Traded Securities
October 30, 2020
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ATTENTION UPS EMPLOYEES WITH MERRILL LYNCH ACCOUNTS: KlaymanToskes Continues to Investigate Claims for UPS Employees with Losses from Unsuitable Covered Call Writing Strategies
August 14, 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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CHK INVESTOR ALERT: KlaymanToskes Continues Investigation into Damages of More Than $500,000 Sustained in Chesapeake Energy Stock with Full-Service Brokerage Firms
June 29, 2020
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FSKR INVESTOR ALERT: KlaymanToskes Investigates Full-Service Brokerage Firms for Unsuitable Investment Recommendations Regarding Franklin Square KKR Capital II Fund
June 26, 2020
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ATTENTION UPS EMPLOYEES WITH RAMPART ACCOUNTS AT MERRILL LYNCH: KlaymanToskes Continues to Investigate Claims for UPS Employees with Losses from Unsuitable Covered Call Writing Strategies
June 26, 2020
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ATTENTION UBS CUSTOMERS WITH YES ACCOUNT LOSSES: KlaymanToskes Continues to Investigate and Pursue Claims to Recover Investment Losses
June 19, 2020
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NOTICE TO SIERRA INCOME FUND INVESTORS: Investment Fraud Lawyers KlaymanToskes Comment on Recent Temporary Suspension of Distributions Payments to Investors
June 11, 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 CURRENT AND FORMER UBS CUSTOMERS WITH YES ACCOUNT LOSSES: KlaymanToskes Continues to Investigate and Pursue Claims to Recover Investment Losses
April 28, 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 WELLS FARGO 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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ATTENTION UBS 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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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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ATTENTION MERRILL LYNCH 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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ATTENTION INVESTORS AT FULL-SERVICE BROKERAGE FIRMS WITH FINANCIAL ADVISORS: FINRA Arbitration is the Best Means to Recovering Losses Suffered Due to Market Volatility Caused by COVID-19
April 21, 2020
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ATTENTION CURRENT AND FORMER UBS CUSTOMERS WITH YES ACCOUNTS: Please Contact KlaymanToskes for Updated Information Relating to Investor Losses
April 17, 2020
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Recover Investment Losses Sustained in Coronavirus (COVID-19) Pandemic
April 16, 2020
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Recent Blogs
Morgan Stanley to Pay Nearly $700k Over Unsuitable and High-Risk Investments
January 25, 2023
Attention Michael Dellinger Investors: Over $4.5 Million in Complaints Filed Against UBS Broker
January 25, 2023
Notice to Brian Kennedy Customers: Unsuitable Oil and Gas Investment Complaints Filed
January 19, 2023
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