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KlaymanToskes Newsroom

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.

Press Releases

NOTICE TO CUSTOMERS OF MORGAN STANLEY’S TONY GALLEA: KlaymanToskes Investigates Broker for Options Trading Strategy in Light of Customer Complaints

April 29, 2022

MIAMI, April 29, 2022 (GLOBE NEWSWIRE) -- National investment fraud lawyers KlaymanToskes is investigating Anthony (“Tony”) Gallea, who is a Morgan Stanley (NYSE: MS) broker...

GWG L Bonds Bankruptcy Update: KlaymanToskes Encourages GWG L Bondholders to Explore Their Legal Options in Light of July 2022 Claims Filing Deadline

April 27, 2022

LOS ANGELES, April 27, 2022 (GLOBE NEWSWIRE) -- National investment fraud lawyers KlaymanToskes advises GWG Holdings, Inc. (NASDAQ: GWGH) L Bondholders to explore their legal...

GWG L Bonds Bankruptcy Update: KlaymanToskes Encourages GWG L Bondholders to Explore Their Legal Options in Light of July 2022 Claims Filing Deadline

April 27, 2022

LOS ANGELES, April 27, 2022 (GLOBE NEWSWIRE) -- National investment fraud lawyers KlaymanToskes advises GWG Holdings, Inc. (NASDAQ: GWGH) L Bondholders to explore their legal...

Notice to Customers of Ex-Morgan Stanley Broker Shawn Good: KlaymanToskes Continues Investigation in Light of SEC’s Ponzi Scheme Allegations

April 27, 2022

CHARLOTTE, N.C., April 27, 2022 (GLOBE NEWSWIRE) -- National investment fraud lawyers KlaymanToskes is investigating FINRA arbitration claims on behalf of customers of Shawn Good,...

ATTENTION FORMER AND CURRENT CUSTOMERS OF TONY BAROUTI OF EMERSON EQUITY: National Investment Fraud Lawyers KlaymanToskes Commences Investigation of Los Angeles-Based Emerson Equity Broker for GWG L Bond Sales in Light of Recent Investor Complaints

April 22, 2022

LOS ANGELES, April 22, 2022 (GLOBE NEWSWIRE) -- National investment fraud lawyers KlaymanToskes is investigating Emerson Equity broker Tony Barouti for GWG Holdings, Inc. (NASDAQ:...

Broker & Advisor Investigations

Broker Misconduct Investigation: Mike Jarvis (Legacy Financial Advisors)

December 08, 2025

National investment loss lawyers KlaymanToskes is investigating broker Mike Jarvis a/k/a Michael William Jarvis (CRD# 2160274) of Legacy Financial Advisors and Cetera Wealth Services. According...

Broker Misconduct Investigation: John Lowry (Spartan Capital Securities)

December 08, 2025

National investment loss lawyers KlaymanToskes is investigating broker John Lowry (CRD# 4336146) of Spartan Capital Securities. According to FINRA BrokerCheck, broker John Lowry, CEO of...

Broker Misconduct Investigation: Eric Dupre (Ameriprise Financial Services)

December 08, 2025

National investment loss lawyers KlaymanToskes is investigating barred broker Eric Dupre (CRD# 2174456) of Ameriprise Financial Services, after a customer complaint was filed with the...

Broker Misconduct Investigation: Mark Carter (Carter Financial Group)

December 08, 2025

National investment loss lawyers KlaymanToskes is investigating broker Mark Carter (CRD# 6387371) of Carter Financial Group and Pruco Securities/Prudential Financial Planning Services after a customer...

Broker Misconduct Investigation: Steve Franko (Independence Capital Co.)

December 07, 2025

National investment loss lawyers KlaymanToskes is investigating suspended broker Steve Franko a/k/a Stephen Michael Franko (CRD# 2157707) of Independence Capital Co. According to FINRA BrokerCheck,...

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Investigations

Atlas Funds (Spartan Capital Securities): Investor Loss Investigation

December 03, 2025

As of December 3, 2025, national investment loss lawyers KlaymanToskes is investigating Spartan Capital Securities and any financial advisors who recommended investments in the Atlas...

Pacific Oak Strategic Opportunity (REIT): Investor Loss Investigation

November 16, 2025

National investment loss lawyers KlaymanToskes is investigating brokerage firms and financial advisors who unsuitably recommended investments in Pacific Oak Strategic Opportunity REIT (formerly KBS Strategic...

Vintage DST: Investor Loss Investigation

November 09, 2025

National investment loss lawyers KlaymanToskes is investigating brokerage firms and financial advisors who unsuitably recommended investments in Vintage DST to their customers. Our law firm...

InCommercial Net Lease DST 4: Investor Loss Investigation

November 09, 2025

National investment loss lawyers KlaymanToskes is investigating brokerage firms and financial advisors who unsuitably recommended investments in InCommercial Net Lease DST 4 to their customers.In...

Peak Pinewood Trace DST: Investor Loss Investigation

November 09, 2025

National investment loss lawyers KlaymanToskes is investigating brokerage firms and financial advisors who unsuitably recommended investments in Peak Pinewood Trace DST to their customers. Our...

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