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Tag: FINRA

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...

NOTICE TO CLIENTS OF MUTUAL OF OMAHA INVESTOR SERVICES, INC. AND EDWARD EARL MATTHES: The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation in Light of FINRA Disciplinary Action

May 17, 2019

OCONOMOWOC, WI, May 17, 2019 – The Securities Arbitration Law Firm of KlaymanToskes (www.klaymantoskes.com) announces that it has commenced an investigation on behalf of investors...

NOTICE TO CLIENTS OF STEVEN PAGARTANIS: The Securities Arbitration Law Firm of KlaymanToskes has commenced an Investigation in Light of Charges of First-Degree and Second-Degree Grand Larceny

June 02, 2018

The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has commenced an investigation in light of recent criminal charges and regulatory action concerning Steven Pagartanis (“Pagartanis”),...

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