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Securities Litigation News & Press Releases

As of Wednesday, March 4, 2026

KlaymanToskes provides timely, credible coverage of broker misconduct, securities fraud investigations, and legal developments impacting investors. Our newsroom delivers fast-moving updates on brokerage firms, financial advisors facing regulatory scrutiny, and other investor-related news. If you've lost money due to fraud, misrepresentation, or negligence, we can help — our firm has successfully recovered over $600 million in Securities Litigation and FINRA Arbitrations.

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NOTICE TO CUSTOMERS OF FULL-SERVICE BROKERAGE FIRMS – KlaymanToskes Announces Investigation on Behalf of UBS ETRACS – ProShares Daily 3x Long Crude ETN Investors that Sustained Losses in Excess of $100,000

NEW YORK–(BUSINESS WIRE)–KlaymanToskes (“KT”), www.klaymantoskes.com, announces an investigation into UBS ETRACS – ProShares Daily 3x Long Crude ETN (NYSE Arca:WTIU) (“WTIU”) recommended by full-service brokerage firms and investment advisors. While major stock indices have fallen approximately 30%, WTIU has dropped nearly 97% since market close on February 21, 2020—before COVID-19…
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NOTICE TO INVESTORS WHO SUFFERED STOCK MARKET LOSSES DUE TO COVID-19: KlaymanToskes Investigates Damages Sustained by Investors who Held Large, Unhedged Concentrated Positions, Margin Accounts, Unsuitable Allocations, or were Excessively Traded

NEW YORK–(BUSINESS WIRE)–KlaymanToskes (“KT”), www.klaymantoskes.com, announced today that it is investigating the damages sustained by investors who held large, unhedged concentrated positions, margin accounts, unsuitable asset allocations, or had an account that was excessively traded (known as “Churning”). Investment portfolios have seen tremendous declines in the last month. Investors quickly…
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NOTICE TO UPS EMPLOYEES: KlaymanToskes Continues to Investigate on Behalf of UPS Employees Who Sustained Losses from Unsuitable Covered Call Writing Strategies

BOCA RATON, Fla.–(BUSINESS WIRE)–KlaymanToskes (“KT”), www.klaymantoskes.com, continues to investigate and pursue FINRA arbitration claims for current and former UPS (NYSE: UPS) employees for losses sustained from unsuitable covered call writing strategies. The investigation focuses on full-service brokerage firms’ sales practices for customers who acquired UPS stock through UPS’s Employee Stock…
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NOTICE TO UPS EMPLOYEES WITH ACCOUNTS AT THE MERRILL LYNCH TAMPA, FLORIDA BRANCH OFFICE: KlaymanToskes Continues to Investigate Claims on Behalf of UPS Employees Who Sustained Losses from Unsuitable Covered Call Writing Strategies

BOCA RATON, Fla.–(BUSINESS WIRE)–KlaymanToskes (“KT”), www.klaymantoskes.com, continues to investigate FINRA arbitration claims for current and former UPS (NYSE: UPS) employees for losses sustained from unsuitable covered call writing strategies for concentrated UPS stock positions. According to KT, Merrill Lynch employed an unsuitable covered call writing strategy. After hard-working UPS employees…
| Press Release

NOTICE TO UPS EMPLOYEES WITH ACCOUNTS AT MERRILL LYNCH: KlaymanToskes Continues to Investigate and Pursue Claims on Behalf of UPS Employees Who Sustained Losses from Unsuitable Covered Call Writing Strategies

BOCA RATON, Fla.–(BUSINESS WIRE)–KlaymanToskes (“KT”), www.klaymantoskes.com, continues to investigate FINRA arbitration claims for current and former UPS (NYSE: UPS) employees with accounts at Merrill Lynch, for losses sustained from unsuitable covered call writing strategies for concentrated UPS stock positions. According to multiple FINRA claims, Merrill Lynch employed an unsuitable covered…
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NOTICE TO CLIENTS OF MUTUAL OF OMAHA INVESTOR SERVICES, INC. AND EDWARD EARL MATTHES: The Securities Arbitration Law Firm of Klayman & Toskes, P.A. Commences Investigation in Light of FINRA Disciplinary Action

/EIN News/ — OCONOMOWOC, Wis., May 17, 2019 (GLOBE NEWSWIRE) — The Securities Arbitration Law Firm of Klayman & Toskes, P.A. (“K&T”) (www.nasd-law.com) announces that it has commenced an investigation on behalf of investors with Mutual of Omaha Investor Services, Inc. (“Omaha”) and Edward Earl Matthes (“Matthes”) in light of…
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NOTICE TO 1 GLOBAL CAPITAL LLC INVESTORS – The Securities Arbitration Law Firm of Klayman & Toskes, P.A. Continues its Investigation of Brokerage Firms and Financial Advisors

/EIN News/ — BOCA RATON, Fla., May 15, 2019 (GLOBE NEWSWIRE) — The Securities Arbitration Law Firm of Klayman & Toskes, P.A., www.nasd-law.com, continues its investigation into the sales of notes by brokerage firms and financial advisors who recommended 1 Global Capital, LLC (“1 Global”) to their customers. On August…
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Notice to Clients of Royal Alliance Associates and Matthew William Crafa: The Securities Arbitration Law Firm of Klayman & Toskes, P.A. is Preparing to File a FINRA Arbitration Claim on Behalf of Investors who Suffered Losses Due to Unsuitable…

/EIN News/ — BOCA RATON, Fla., Feb. 01, 2019 (GLOBE NEWSWIRE) — The Securities Arbitration Law Firm of Klayman & Toskes, P.A. (“K&T”) (www.nasd-law.com) is preparing to file a claim with FINRA on behalf of Investors with Royal Alliance Associates, Inc. (“Royal Alliance”) and Matthew William Crafa (“Crafa”).  The claim…
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NOTICE TO 1 GLOBAL CAPITAL LLC INVESTORS – The Securities Arbitration Law Firm of Klayman & Toskes, P.A. Commences Investigation after Bankruptcy Filing and SEC Charges

/EIN News/ — BOCA RATON, Fla., Sept. 14, 2018 (GLOBE NEWSWIRE) — The Securities Arbitration Law Firm of Klayman & Toskes, P.A., www.nasd-law.com, has commenced an investigation into the sales of notes by brokerage firms and financial advisors who recommended 1 Global Capital, LLC (“ 1 Global”) to their customers.…
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NOTICE TO CLIENTS OF STEVEN PAGARTANIS: The Securities Arbitration Law Firm of Klayman & Toskes, P.A. has commenced an Investigation in Light of Charges of First-Degree and Second-Degree Grand Larceny

/EIN News/ — BOCA RATON, Fla., June 02, 2018 (GLOBE NEWSWIRE) — The Securities Arbitration Law Firm of Klayman & Toskes, P.A. (“K&T”), www.nasd-law.com, has commenced an investigation in light of recent criminal charges and regulatory action concerning Steven Pagartanis (“Pagartanis”), who worked at Lombard Securities, Inc. (“Lombard”) and Cadaret, Grant…

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