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Tag: Excessive Trading

Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA

March 14, 2022

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...

Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

January 25, 2022

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...

FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

January 20, 2022

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...

Recover John LoPinto Worden Capital Investment Losses

January 14, 2022

John LoPinto Worden Capital investment losses? KlaymanToskes investigates ex-broker in light of FINRA suspension for excessively trading in customer accounts National investment fraud lawyers KlaymanToskes...

(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges

January 05, 2022

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”)...

Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million

January 01, 2022

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 at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA

December 02, 2021

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? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

November 30, 2021

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...

Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

November 29, 2021

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...

AEGIS CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Aegis Capital after FINRA Sanctions Aegis Capital and its Melville Branch Manager For Supervisory Violations Costing Investors Millions

November 16, 2021

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...

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

October 12, 2021

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”)...

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

October 11, 2021

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...

Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker

September 27, 2021

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...

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

July 21, 2021

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....

Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint

July 19, 2021

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...

ATTENTION INVESTORS AT FULL-SERVICE BROKERAGE FIRMS WITH FINANCIAL ADVISORS: FINRA Arbitration is the Best Means to Recovering Losses Suffered Due to Market Volatility Caused by COVID-19

April 21, 2020

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...

NOTICE TO INVESTORS WHO SUFFERED STOCK MARKET LOSSES DUE TO COVID-19: KlaymanToskes Commences Investigation into Damages Sustained by Investors who Held Large, Unhedged Concentrated Positions, Margin Accounts, Unsuitable Allocations, or were Excessively Traded

March 24, 2020

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...

NOTICE TO ALL NEXT FINANCIAL GROUP, INC. CLIENTS: The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation for Failure to Supervise Excessive Trading and Unsuitable Trade Recommendations Resulting in Damages in Excess of $10 Million

August 27, 2018

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...

Broker Barred by FINRA for Excessive Trading in Client IRA Accounts

March 28, 2017

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...

FINRA Fines Broker for Excessive Commissions from Risky Trading Strategies

November 17, 2016

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...

SEC Bars LPL Financial advisor, Paul Lebel for Churning Client Mutual Fund Investments

October 24, 2016

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...

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