Another Broker Barred from Employment After Allegations of Securities Rules Violations Francis Joseph Velten (CRD# 2291911) has been permanently barred from working as a financial...
FINRA sanctions Aegis Capital for $2.8 million including $1.7 million in restitution to customers for excessive and unsuitable trading in Aegis’ customer accounts. The remaining...
National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Stephen Sullivan Spartan Capital Investigation”) into Spartan Capital Securities broker Stephen James Sullivan in light...
National investor fraud law firm, KlaymanToskes, has commenced an investigation into former Aegis Capital broker Scott Hananel (“Scott Hananel Aegis Capital Investigation”) in light of...
KlaymanToskes, www.klaymantoskes.com, is investigating the damages sustained by investors at full-service brokerage firms who held large, unhedged concentrated positions, margin accounts, unsuitable asset allocations, or...
KlaymanToskes, 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...
The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, launches an investigation against Next Financial Group, Inc. (“NEXT”) (CRD #46214) based on its failure to supervise for excessive trading, short-short...
Released November 2016 Lucas Dylan Lichtman (CRD #5542092, Nanuet, New York) submitted an Offer of Settlement in which he was assessed a deferred fine of...
On October 18, 2016, the Securities Exchange Commission (SEC) barred LPL Financial advisor, Paul Lebel for churning and excessively trading mutual funds in customer accounts...
