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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 FRANKLIN SQUARE ENERGY & POWER FUND INVESTORS: KlaymanToskes Announces Investigation into Investor Losses at Full-Service Brokerage Firms

March 18, 2022

NEW YORK--(BUSINESS WIRE)--National investment fraud lawyers KlaymanToskes is continuing to investigate full-service brokerage firm sales practice violations of Financial Industry Regulatory Authority (“FINRA”) rules and...

NORTHSTAR FINANCIAL SERVICES (BERMUDA) TRUIST INVESTMENT SERVICES INVESTOR ALERT: National Investment Fraud Lawyers KlaymanToskes Continues to Investigate Individual Securities Arbitration Claims Against Truist for Northstar Variable Annuity Sales

March 18, 2022

MIAMI--(BUSINESS WIRE)--National investment fraud lawyers KlaymanToskes continues to investigate potential FINRA arbitration claims on behalf of investors who sustained losses exceeding $100,000 in Northstar Financial...

ATTENTION PELOTON EMPLOYEES AND INVESTORS: National Investment Fraud Lawyers KlaymanToskes Is Investigating Individual Securities Arbitration Claims Against Full-Service Brokerage Firms that Sold Customers Large, Concentrated Positions in Peloton

March 16, 2022

NEW YORK, March 16, 2022 (GLOBE NEWSWIRE) -- National investment fraud lawyers KlaymanToskes is investigating individual securities arbitration claims on behalf of investors who sustained...

RUSSIAN STOCK UBS MARGIN CALL INVESTOR ALERT: National Investment Fraud Lawyers KlaymanToskes Investigates UBS for Triggering Margin Calls in Light of the Ongoing Sanctions Imposed Against Russia for Ukraine Invasion

March 10, 2022

NEW YORK--(BUSINESS WIRE)--National investment fraud lawyers KlaymanToskes is investigating potential FINRA arbitration claims on behalf of investors who sustained losses from using Russian assets as...

CREDIT SUISSE RUSSIAN STOCK MARGIN CALL INVESTOR ALERT: National Investment Fraud Lawyers KlaymanToskes Launches Investigation of Swiss Investment Firm’s Margin Risk Management Practices in Light of the Ongoing Ukraine-Russia Crisis

March 10, 2022

NEW YORK, March 10, 2022 /PRNewswire/ -- National investment fraud lawyers KlaymanToskes is investigating potential FINRA arbitration claims on behalf of investors who suffered losses from...

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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