FINRA Arbitration Archives

Tag: FINRA Arbitration

National Investment Fraud Lawyers KlaymanToskes Applauds FINRA’s Audit of Its Arbitrator Selection Process

February 23, 2022

National investment fraud lawyers KlaymanToskes expresses its approval of the Financial Industry Regulatory Authority’s (“FINRA”) decision to audit its dispute resolution forum’s arbitration selection process....

Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft

February 23, 2022

Recent FINRA Sanctions of FInancial Advisors for Impropriety. Park Avenue Securities LLC Reid Andrew Suspended from Securities Industry Reid C. Andrew (“Reid Andrew”) a California-based...

DAVID MELILLI INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor David Melilli

November 12, 2021

David Melilli Cambridge Investment Investment Losses? KlaymanToskes Investigates Former Moorestown, NJ Broker National investor fraud law firm KlaymanToskes announces its investigation ("David Melilli Cambridge Investment...

Ken Welsh Wells Fargo Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Fairfield, NJ Financial Advisor

November 02, 2021

Ex-Wells Fargo Financial Advisor Ken Welsh Wells Fargo Accused of Stealing Customer Funds National investor fraud law firm KlaymanToskes is investigating former Wells Fargo financial...

Sigma Financial Corporation Facing $4.5M in Potential Damages in Customer Disputes

June 28, 2021

Sigma Financial Corporation is facing four Financial Industry Regulatory Authority arbitration claims seeking alleged damages of about $4.5 million, according to the firm’s most recent...

ATTENTION SPAC INVESTORS: KlaymanToskes Investigates Losses in Excess of $250,000 from Investments in Electric Vehicle Industry Stocks Recommended by Full-Service Brokerage Firms

April 30, 2021

KlaymanToskes announces an investigation on behalf of investors who sustained losses in excess of $250,000 in Electric Vehicle Industry Stock investments funded through Special Purpose...

KlaymanToskes Investigates David Lerner Associates Recommended Investments in Proprietary Non-Traded Investments Concentrated in Energy Sector

November 17, 2020

National securities fraud law firm, KlaymanToskes, announces its investigation into David Lerner Associates for the unsuitable concentration in proprietary products invested non-traded Oil & Gas...

ATTENTION ELDORADO RESORTS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Eldorado Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Eldorado Resorts (NASDAQ:ERI) (“Eldorado”) who held large,...

ATTENTION CAESARS ENTERTAINMENT EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Caesars Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Caesars Entertainment (NASDAQ:CZR) (“Caesars”) who held large,...

ATTENTION WYNN RESORTS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Wynn Resorts Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Wynn Resorts (NASDAQ:WYNN) who held large, unhedged...

ATTENTION MGM RESORTS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in MGM Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of MGM Resorts International (NYSE:MGM) (“MGM”) who held...

ATTENTION LAS VEGAS SANDS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Las Vegas Sands Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Las Vegas Sands (NYSE:LVS) who held large,...

ATTENTION CEDAR FAIR EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Cedar Fair Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Cedar Fair (NYSE:FUN) who held large, unhedged...

ATTENTION SIX FLAGS EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Six Flags Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Six Flags Entertainment (NYSE:SIX) (“Six Flags”) who...

ATTENTION PENN NATIONAL GAMING EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Penn National Gaming Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Penn National Gaming (NASDAQ:PENN) who held large,...

ATTENTION LIVE NATION ENTERTAINMENT EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Live Nation Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Live Nation Entertainment (NYSE:LYV) (“Live Nation”) who...

ATTENTION WALT DISNEY COMPANY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Disney Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 07, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of The Walt Disney Company (NYSE:DIS) (“Disney”) who...

ATTENTION ALASKA AIR EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Alaska Air Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Alaska Air (NYSE:ALK) who held large, unhedged...

ATTENTION SOUTHWEST AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Southwest Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Southwest Airlines (NYSE:LUV) (“Southwest”) who held large,...

ATTENTION DELTA AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Delta Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Delta Airlines (NYSE:DAL) (“Delta”) who held large,...

ATTENTION AMERICAN AIRLINES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in American Airlines Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of American Airlines (NASDAQ:AAL) who held large, unhedged...

ATTENTION NORWEGIAN EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Norwegian Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Norwegian Cruise Line (NYSE:NCLH) (“Norwegian”) who held...

ATTENTION CARNIVAL EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained by Investors in Carnival Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Carnival Corporation (NYSE:CCL) (“Carnival”) who held large,...

ATTENTION ROYAL CARIBBEAN EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Royal Caribbean Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Royal Caribbean Cruises (NYSE:RCL) (“Royal Caribbean”) who...

ATTENTION OCCIDENTAL PETROLEUM EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Occidental Petroleum Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Occidental Petroleum Corporation (NYSE:OXY) (“Occidental Petroleum”) who...

ATTENTION HERTZ EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained in Hertz Stock held with Full-Service Brokerage Firms During Coronavirus Pandemic

May 06, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Hertz Global Holdings (NYSE:HTZ) (“Hertz”) who held...

ATTENTION CALLON PETROLEUM EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Callon Petroleum Stock with Full-Service Brokerage Firms

May 05, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating the damages sustained during the Coronavirus (“COVID-19”) pandemic by employees and investors who held large positions in...

ATTENTION CHESAPEAKE ENERGY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Chesapeake Energy Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION DENBURY RESOURCES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Denbury Resources Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION BORR DRILLING EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Borr Drilling Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION DIAMOND OFFSHORE DRILLING EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Diamond Offshore Drilling Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION CHAPARRAL ENERGY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Chaparral Energy Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION CONTINENTAL RESOURCES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Continental Resources Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION YUMA ENERGY EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Yuma Energy Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION CALIFORNIA RESOURCES EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in California Resources Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION WHITING PETROLEUM EMPLOYEES/INVESTORS: KlaymanToskes Commences Investigation into Damages Sustained During Coronavirus Pandemic in Whiting Petroleum Stock with Full-Service Brokerage Firms

May 05, 2020

ATTENTION FMSBONDS CUSTOMERS WHO PURCHASED FRONTIER COMMUNICATIONS BONDS: KlaymanToskes Commences Investigation on Behalf of Investors

April 24, 2020

KlaymanToskes, www.klaymantoskes.com, announces an investigation on behalf of customers of FMSbonds (“FMS”) who were recommended to purchase Frontier Communications (NASDAQ:FTR) (“Frontier”) bonds. These bonds may...

ATTENTION WELLS FARGO CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

April 24, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors with Wells Fargo & Company (NYSE:WFC) accounts who sustained losses from investments in the Energy Sector,...

ATTENTION UBS CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

April 24, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors with UBS (NYSE:UBS) accounts who sustained losses from investments in the Energy Sector, High Yield Debt,...

ATTENTION MORGAN STANLEY CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

April 24, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors with Morgan Stanley (NYSE:MS) accounts who sustained losses from investments in the Energy Sector, High Yield...

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...

ATTENTION GOLDMAN SACHS MLP AND ENERGY RENAISSANCE FUND (GER) INVESTORS – KlaymanToskes commences investigation on behalf of GER Investors Who Sustained Losses in Excess of $250,000 as a Result of a Recommendation from their Financial Advisor

April 21, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses from the purchase of Goldman Sachs MLP and Energy Renaissance (NYSE:GER) (“GER”), a...

ATTENTION CURRENT AND FORMER UBS CUSTOMERS WITH YES ACCOUNTS: Please Contact KlaymanToskes for Updated Information Relating to Investor Losses

April 17, 2020

KlaymanToskes, www.klaymantoskes.com, continues its investigation into the Yield Enhancement Strategy (“YES”) recommended by UBS (NYSE:UBS) to its customers. KlaymanToskes has recently received important information relating...

Recover Investment Losses Sustained in Coronavirus (COVID-19) Pandemic

April 16, 2020

Since February 21, 2020, the stock market indexes have all been suffering from staggering losses and volatility seen only few times before. Investors have suffered...

KlaymanToskes Investigated Unsuitable Covered Call Writing Strategies on Behalf of UPS Employees Who Sustained Losses from Merrill Lynch and other full Service Brokerage Firms

April 13, 2020

KlaymanToskes investigated and filed claims for UPS (NYSE: UPS) employees for losses sustained from unsuitable covered call writing strategies for concentrated UPS stock positions at Merrill...

NOTICE TO GOLDMAN SACHS CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Goldman Sachs Group (NYSE:GS) (“Goldman”) accounts who were forced to sell securities...

NOTICE TO MORGAN STANLEY CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Morgan Stanley (NYSE:MS) accounts who were forced to sell securities due to...

NOTICE TO AMERIPRISE FINANCIAL CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Ameriprise Financial, Inc. (NYSE:AMP) (“Ameriprise”) accounts who were forced to sell securities...

NOTICE TO JANNEY MONTGOMERY SCOTT CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Janney Montgomery Scott, LLC (“Janney”) accounts who were forced to sell securities...

NOTICE TO STIFEL NICOLAUS CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Stifel, Nicolaus & Company (NYSE:SF) (“Stifel”) accounts who were forced to sell...

NOTICE TO RAYMOND JAMES FINANCIAL CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Raymond James Financial (NYSE:RJF) (“Raymond James”) accounts who were forced to sell...

NOTICE TO WELLS FARGO CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Wells Fargo & Company (NYSE:WFC) (“Wells Fargo”) accounts who were forced to...

NOTICE TO UBS CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with UBS (NYSE:UBS) accounts who were forced to sell securities due to margin...

NOTICE TO MERRILL LYNCH CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Merrill Lynch (NYSE:BAC) (“Merrill”) accounts who were forced to sell securities due...

NOTICE TO INVESTORS WITH MARGIN ACCOUNTS AT FULL-SERVICE BROKERAGE FIRMS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were forced to Sell Securities Due to Margin Calls

April 09, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by Investors who were forced to sell securities due to margin calls. The investigation focuses...

NOTICE TO CURRENT AND FORMER BOEING EMPLOYEES: KlaymanToskes Commences Investigation into Damages Sustained by Shareholders who Held Large, Unhedged Concentrated Positions in Boeing

April 09, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former Boeing Company (NYSE:BA) (“Boeing”) employees who held large, unhedged concentrated positions...

NOTICE TO NEW YORK MORTGAGE TRUST, INC. (NYMT) INVESTORS – KlaymanToskes commences investigation for NYMT Investors with Losses in Excess of $100,000 due to a Recommendation from their Full-Service Brokerage Firm/Financial Advisor

April 07, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses in excess of $100,000 from the recommended purchase of New York Mortgage Trust,...

NOTICE TO MFA FINANCIAL, INC. (MFA) INVESTORS – KlaymanToskes commences investigation for MFA Investors with Losses in Excess of $100,000 due to a Recommendation from their Full-Service Brokerage Firm/Financial Advisor

April 07, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses in excess of $100,000 from the recommended purchase of MFA Financial, Inc. (NYSE:MFA)...

NOTICE TO AG MORTGAGE INVESTMENT TRUST, INC. (MITT) INVESTORS – KlaymanToskes commences investigation on behalf of MITT Investors with Losses in Excess of $100,000 as a Result of a Recommendation from their Full-Service Brokerage Firm/Financial Advisor

April 07, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses in excess of $100,000 from the recommended purchase of AG Mortgage Investment Trust,...

NOTICE TO INVESCO MORTGAGE CAPITAL, INC. (IVR) INVESTORS – KlaymanToskes commences investigation on behalf of IVR Investors Who Sustained Losses in Excess of $100,000 as a Result of a Recommendation from their Financial Advisor

March 30, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses from the purchase of Invesco Mortgage Trust, Inc. (NYSE:IVR) (“IVR”) a Real Estate...

NOTICE TO CLEARBRIDGE MLP AND MIDSTREAM FUND INC (CEM) INVESTORS – KlaymanToskes commences investigation on behalf of CEM Investors Who Sustained Losses in Excess of $100,000 as a Result of a Recommendation from their Financial Advisor

March 30, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses from the purchase of ClearBridge MLP and Midstream Fund, Inc. (NYSE:CEM) (“CEM”) a...

NOTICE TO KAYNE ANDERSON MLP/MIDSTREAM INVESTMENT COMPANY (KYN) INVESTORS – KlaymanToskes commences investigation on behalf of KYN Investors Who Sustained Losses in Excess of $100,000 as a Result of a Recommendation from their Financial Advisor

March 30, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors who sustained losses from the purchase of Kayne Anderson MLP/Midstream Investment Company (NYSE:KYN) (“KYN”) a Master...

NOTICE TO CUSTOMERS OF FULL-SERVICE BROKERAGE FIRMS – KlaymanToskes Announces Investigation on Behalf of UBS ETRACS – ProShares Daily 3x Long Crude ETN Investors that Sustained Losses in Excess of $100,000

March 26, 2020

KlaymanToskes, www.klaymantoskes.com, announces an investigation into UBS ETRACS - ProShares Daily 3x Long Crude ETN (NYSE Arca:WTIU) (“WTIU”) recommended by full-service brokerage firms and investment...

Notice to Clients of Royal Alliance Associates and Matthew William Crafa: The Securities Arbitration Law Firm of KlaymanToskes is Preparing to File a FINRA Arbitration Claim on Behalf of Investors who Suffered Losses Due to Unsuitable Recommendations to Purchase GPB Notes

February 01, 2019

The Securities Arbitration Law Firm of KlaymanToskes (www.klaymantoskes.com) is preparing to file a claim with FINRA on behalf of Investors with Royal Alliance Associates, Inc....

The Securities Arbitration Law Firm of KlaymanToskes Announces Expansion of Its Securities Litigation and Arbitration Practice to Include Sexual Harassment Claims Against FINRA Member Firms

February 09, 2018

The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces the expansion of the firm’s established securities arbitration and litigation practice to include sexual harassment claims...

NOTICE TO TD AMERITRADE CUSTOMERS WITH ADVISORDIRECT ACCOUNTS MANAGED BY SHEAFF BROCK INVESTMENT ADVISORS – The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation into Trading Losses in Put Option Strategy

February 02, 2018

The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces that it has commenced an investigation into the Put Option strategy implemented by Sheaff Brock Investment...

KlaymanToskes Investigates UBS Yield Enhancement Strategy (YES) Investor Losses

January 27, 2018

In May 2019, KlaymanToskes commenced an investigation into the Yield Enhancement Strategy (“YES”) recommended by UBS (NYSE:UBS) to its customers. Losses have increased to more...

NOTICE TO WELLS FARGO AND MORGAN STANLEY CLIENTS – KlaymanToskes Investigates Cross Selling Incentive Programs Following FINRA Targeted Examination Letter to Brokerage Industry

October 31, 2016

New York, NY – October 31, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has opened an industry-wide investigation of brokerage firms into...

NOTICE TO WELLS FARGO BROKERAGE CUSTOMERS — The Securities Arbitration Law Firm of KlaymanToskes Continues Wells Fargo Advisors Investigation — California AG Issues Search Warrant

October 21, 2016

New York, NY -- October 21, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to investigate Wells Fargo Advisors for potential Financial...

Wells Fargo Brokerage Customer Alert — The Securities Arbitration Law Firm of KlaymanToskes Opens Investigation into Wells Fargo “Cross-Selling” Efforts for Violations of Securities Industry Regulations

October 10, 2016

New York, New York – October 10, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has opened an investigation into potential Financial Industry...

Elder Financial Fraud Victims: The Securities Arbitration Law Firm of KlaymanToskes Expands Practice to Representation of Victims of Elder Financial Fraud

September 27, 2016

Boca Raton, Florida (GLOBE NEWSWIRE) – September 27, 2015 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, expands its practice to include the representation...

METLIFE VARIABLE ANNUITY ALERT — Securities Arbitration Law Firm of KlaymanToskes Announces Investigation of MetLife Securities Misconduct in Light of $25 Million in Fines and Restitution Imposed By FINRA

August 12, 2016

New York, New York (Globe Newswire) -- August 12, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces investigation of MetLife Securities Inc....

BUSINESS DEVELOPMENT COMPANY (BDC) INVESTOR ALERT: The Securities Arbitration Law Firm of KlaymanToskes Opens Investigation into Potential Brokerage Firm Violations Related to Sale of Non-Traded Business Development Companies in Response to FINRA Targeted Examination Letter

August 10, 2016

New York (Globe Newswire) – August 10, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has opened an investigation into potential brokerage firm...

Notice to Clients of Andrew Yocum and Morgan Stanley: The Securities Arbitration Law Firm of KlaymanToskes has Commenced an Investigation in Light of Recent Regulatory Action Barring Andrew Yocum from Acting as a Broker

August 02, 2016

New York (Globe Newswire) – August 2, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has commenced an investigation in light of recent...

KlaymanToskes Wins $2.25 Million FINRA Arbitration Award in Favor of Retired UPS Executive With Concentrated Stock Position Against Citigroup Global Markets

February 10, 2016

Boca Raton, Florida (GLOBE NEWSWIRE) February 10, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com announced a major victory today in winning a...

LPL Financial LLC Ordered To Pay Restitution To Investors and Fines To FINRA for Failure To Supervise Sale of Non-Traded REITs, Variable Annuities and Exchange Traded Funds

May 08, 2015

Financial Industry Regulatory Authority (FINRA) sanctioned LPL Financial, LLC with fines of $10 million for, “broad supervisory failures in a number of key areas, including...

National Senior Investor Initiative Report Points To Need For Elder Financial Fraud Protection

May 01, 2015

A recent report published by securities industry regulators concerning brokerage firm examinations in 2013 that led to important insights concerning brokerage firm sales practices directed...

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