National investment fraud lawyers KlaymanToskes is investigating Jason Wilk in light of his recent bar from the securities industry for failing to provide testimony relating...
National investment fraud lawyers KlaymanToskes is investigating (“Joseph LaScala Aegis Investigation”) Excessive Trading Investigation”) Aegis Capital broker Joseph LaScala in light of his recent settlement...
National investment fraud lawyers KlaymanToskes is investigating ("William Athas Excessive Trading Investigation") on behalf of former customers of ex-Worden Capital Management, LLC and K.C. Ward...
National investor fraud law firm KlaymanToskes is investigating Nikola (NASDAQ: NKLA) in light of the company’s $125M settlement with the Securities & Exchange Commission (“SEC”)...
Fined Nearly $1 Million for Alleged Merrill Lynch ACH Transfer Failure To Supervise Supervision Failure According to a FINRA Letter of Acceptance, Waiver & Consent,...
Steven Musielski Investment Losses as a Cambria Capital Customer? FINRA Bars Former Cambria Capital Broker for Refusal to Provide Documents and Information in Investigation (“Steven...
Michael May Investment Losses at Joseph Stone? KlaymanToskes investigates New York-based broker in light of FINRA suspension ("Michael May Investment Loss Investigation") National investor fraud...
Investment Losses with Leonard Joseph Marzocco Woodstock Financial? KlaymanToskes investigates former broker amid excessive trading allegations National investor fraud law firm KlaymanToskes is investigating former...
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 (“Daniel O’Neill Aegis Capital Investigation”) into former Aegis Capital broker Daniel J. O’Neill (“Daniel O’Neill”)...
National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Lee Nordstrom Vorphal Wing Securities Investigation”) into former Vorphal Wing Securities broker Lee Victor Nordstrom...
National investor fraud law firm, KlaymanToskes, has commenced an investigation into former Worden Capital Management, LLC and current SW Financial registered representative Joseph Paul Todaro...
National investor fraud law firm, KlaymanToskes, has commenced an investigation into former Aegis Capital broker Douglas Szempruch in light of his recent suspension by FINRA....
FINRA recently named Adam Belardino of New Rochelle as a Respondent in a Complaint. FINRA alleges that Belardino failed to appear for on-the-record testimony. Belardino...
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 March 2017 Richard Gomez (CRD #4727721, Jackson Heights, New York) submitted an AWC in which he was suspended from association with any FINRA member...
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...
