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Tag: FINRA Disciplinary Actions

INVESTOR ALERT: National Investment Fraud Law Firm KlaymanToskes Announces Investigation of FINRA Barred Financial Advisor Richard Wesselt

November 04, 2023

Financial Advisor Richard Wesselt has been barred by FINRA. FINRA barred financial advisor Richard Wesselt made unsuitable recommendations that did not take into account his...

Ernest Frerking Terminated: KlaymanToskes Investigates Violations While at Merrill Lynch

August 06, 2022

Another Broker Permanently Barred After Allegations of Securities Rules Violations Ernest Grey Frerking (CRD# 2588177) was terminated from his employment with Merrill Lynch and has...

Michael Mandel Sanctioned For Selling Away Violations In A Tequila Business

March 04, 2022

Between May 2014 and October 2016, Michael Mandel participated in unauthorized investment transactions, also called selling away, in violation of securities industry rules. Michael Mandel...

Former Hilltop Securities Broker Dennis Ayre Barred from Securities Industry

February 09, 2022

National Investment Fraud Lawyers KlaymanToskes is investigating ("Hilltop Securities Dennis Ayre Investigation") former California-based securities broker Dennis Phillip Ayre. He was recently barred from the...

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...

SwapStar Capital Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates New Jersey Investment Advisor Fraud in Light of SEC, CFTC Charges

November 18, 2021

Investment Losses with SwapStar Capital? KlaymanToskes Investigates Barred New Jersey Investment Adviser and Firm Swapstar Capital National investor fraud law firm is investigating SwapStar Capital...

JIHYE KANG AXA ADVISORS INVESTMENT LOSSES? National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Broker in Light of Forgery Accusations, Securities Bar

November 04, 2021

Investment Losses with Jenna Kang (Los Angeles, CA) at Axa Advisors? National investor fraud law firm KlaymanToskes is investigation ex-Axa Advisors broker Jenna Kang (a/k/a...

LPL FINANCIAL, LLC MICHAEL HARTLETT INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation after Financial Advisor Michael Hartlett Consents to Suspension and Fine

October 29, 2021

Michael Hartlett consents to FINRA suspension and fine for discretionary trading in an investor's account without prior written authorization in a Letter of Acceptance, Waiver,...

SHILLIN WEALTH MANAGEMENT MICHAEL SHILLIN INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of Wisconsin Investment Advisor in Light of Pending SEC Action

October 27, 2021

Michael Shillin Alliance Global Partners Investment Losses? FINRA Bars Appleton, Wisconsin investment advisor accused of defrauding at least 100 advisory clients. National investor fraud law...

JEFFREY DROST RAYMOND JAMES INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Raymond James Broker in Light of Potential Unauthorized Borrowing Allegations

October 19, 2021

Jeffrey Drost Raymond James Investment Losses? Ex-Broker Barred by Securities Industry as FINRA Investigates Potential Unauthorized Borrowing National investor fraud law firm, KlaymanToskes, has commenced...

EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation

October 18, 2021

Eugene McAdams Joseph Stone Customer? Ex-Joseph Stone Capital, LLC Broker Barred by Securities Industry as FINRA Investigate Suitability Recommendations National investor fraud law firm, KlaymanToskes,...

EDGAR KLEYDMAN AXA ADVISORS INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Axa Advisors Broker In Light of Securities Bar

October 14, 2021

National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Edgar Kleydman Axa Advisors Investigation”) into former Axa Advisors (n/k/a Equitable Advisors) Edgar A Kleydman...

John Kevin Barrett Emerson Equity Investor Alert: FINRA Bars Ex-Emerson Equity Broker

October 05, 2021

National investor fraud law firm, KlaymanToskes has commenced an investigation (“Kevin Barrett Emerson Equity Investigation”) into former Emerson Equity broker John Kevin Barrett (“Kevin Barrett”)...

David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds

September 28, 2021

National investor fraud law firm, KlaymanToskes, has commenced an investigation (“David Wells Fifth Third Securities”) into former Fifth Third Securities, Inc. broker David S. Wells...

ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations

September 16, 2021

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...

ATTENTION THOMAS STRATTON WORLD CHOICE SECURITIES CUSTOMERS: FINRA BARS BROKER RELATING TO ITS INVESTIGATION OF POTENTIAL MISUSE OF CUSTOMER FUNDS

August 13, 2021

National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Thomas Stratton World Choice Securities Investigation”) into World Choice Securities broker Thomas Ward Stratton in...

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...

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

February 26, 2021

FINRA recently disclosed that Cetera Advisor Networks LLC, Cetera Advisors, LLC and Cetera Financial Specialists, LLC, (Cetera Firms) agreed to an Acceptance, Waiver and Consent...

FINRA Barred, NPB Financial Group Ex-Broker, Cynthia Diane Cowden for Unsuitable Investment Recommendations in Illiquid Non-Traded Securities

October 30, 2020

The securities industry watchdog, the Financial Regulatory Industry Authority (“FINRA”) barred, NPB Financial Group’s, Ex-Broker Cynthia Diane Cowden, for Unsuitable Investment Recommendations to a retired...

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...

FINRA Fines Eight Firms a Total of $6.2 Million for Supervisory Failures Related to Variable Annuity L-Shares

November 03, 2016

Released November 2, 2016 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined eight firms, including VOYA Financial Advisors, five...

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