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...
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...
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...
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,...
Recently, the Financial Industry Regulatory Authority (FINRA) sanctioned and fined Brokerage Firm, Independent Financial Group (IFG), for the failure to supervise recommended Alternative Investments in...
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, announces their investigation on behalf of investors into Business Development Companies (“BDCs”), Medley Capital and Sierra Income Corp. On March 7, 2021, Medley Capital...
On March 7, 2021, Medley Capital Corp. (NYSE: MCC), a direct subsidiary of Medley Management Inc. (NYSE: MDLY), filed for Bankruptcy Protection from creditors –...
On January 8, 2021, VALIC Financial Advisors agreed to a Letter of Acceptance, Waiver and Consent (AWC) (Case No. 2018060548501) which included a Fine of...
Boca Raton, Florida -- March 16, 2021 -- The Securities Law Firm of KlaymanToskes provides notice to all Workhorse Group, Inc. (NYSE:WKHS) shareholders concerning the...
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...
In November 2020, the securities industry watchdog, the Financial Regulatory Industry Authority (“FINRA”) suspended, Vincent Anthony Virga, after an Acceptance, Waiver and Consent (AWC) Order...
KlaymanToskes, www.klaymantoskes.com, continues to investigate and pursue claims to recover investment losses suffered by investors in UBS’s (NYSE:UBS) Yield Enhancement Strategy (“YES”). KT has recently...
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, https://klamantoskes.wpengine.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...
San Juan, Puerto Rico. May 5, 2017 -- The Securities Arbitration Law Firm of KlaymanToskes, www.sueubspuertorico.com, together with Carlo Law Offices, P.S.C. located in Puerto...
Released March 2017 Texas E&P Partners, Inc. fka Chestnut Exploration Partners, Inc. (CRD #127228 , Richardson, Texas) and Mark Allan Plummer (CRD #4608699 Richardson, Texas)....
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...
Caribbean News January 16, 2017 SAN JUAN, Puerto Rico -- A securities arbitration law firm on Friday filed a claim against UBS Financial Services Inc....
San Juan, Puerto Rico. January 13, 2017 -- The Securities Arbitration Law Firm of KlaymanToskes, www.sueubspuertorico.com, together with Carlo Law Offices, P.S.C. located in Puerto...
San Juan, Puerto Rico--December 5, 2016. The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to investigate FINRA arbitration claims against Merrill Lynch, a subsidy...
Thomas Edward Brenner Jr. (CRD #1489233, Orrville, Ohio) submitted an AWC in which he was assessed a deferred fine of $30,000, suspended from association with...
Released November 2, 2016 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined eight firms, including VOYA Financial Advisors, five...
The Financial Industry Regulatory Authority (FINRA) has submitted new rule changes for the Securities Exchange Commission (SEC) to approve which is designed to help prevent...
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...
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...
In September 2016, the Financial Industry Regulatory Authority (FINRA) sanctioned Securities America for Mutual Fund Sales Practice Violations. Securities America, Inc. (CRD #10205, La Vista,...
New York, NY -- October 14, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, has opened an investigation into potential Financial Industry Regulatory...
NEW YORK August 26, 2016 (GLOBE NEWSWIRE) -- The securities arbitration law firm of KlaymanToskes, www.klaymantoskes.com, has filed a $500,000 FINRA arbitration claim [FINRA Case...
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....
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...
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...
New York (Globe Newswire) – April 7, 2016 – The Securities Arbitration Law Firm of KlaymanToskes www.klaymantoskes.com, announced today that it is continuing to investigate...
Boca Raton (Globe Newswire) – April 7, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces that it is conducting an investigation into...
New York (Globe Newswire) – April 1, 2016 – In a release issued under the headline “The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation...
New York (Globe Newswire) – March 24, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces an investigation into Financial Industry Regulatory Authority (FINRA)...
New York (Globe Newswire) – March 2, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, provides notice to all United Development Funding IV (NASDAQ:UDF)...
Boca Raton, Florida (BUSINESSWIRE) – February 26, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, launches an investigation into Financial Industry Regulatory Authority...
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...
Boca Raton, Florida (BUSINESSWIRE) – January 20, 2016 – The Securities Arbitration Law Firms of KlaymanToskes, www.klaymantoskes.com, continues to investigate Financial Industry Regulatory Authority (FINRA)...
The Securities Arbitration Law Firms of KlaymanToskes and Carlo Law Offices Continue to Investigate Santander Securities, LLC on Behalf of Puerto Rico Investors for FINRA...
Boca Raton, Florida (BUSINESSWIRE) – October 9, 2015 – The Securities Arbitration Law Firms of KlaymanToskes, www.klaymantoskes.com, announces an investigation into UBS Financial Services, Inc....
Boca Raton, Florida (GLOBE NEWSWIRE) September 18, 2015 -- The securities arbitration law firm of KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating Financial Industry...
Boca Raton, Florida (GLOBE NEWSWIRE) June 25, 2015 -- The securities arbitration law firm of KlaymanToskes, www.klaymantoskes.com, announced an investigation into sales practices related to...
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...
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...
The proposed rule change proposed by the Department of Labor (DOL) are directed towards a multi-trillion dollar industry IRA Rollover industry from employer sponsored retirement...
UBS Financial Services of Puerto Rico and its financial advisors have placed investors in great peril chasing tax-free income through investments in UBS Puerto Rico...
The collapse in oil prices has hit hard investment strategies focused on the oil and energy sector for many investors, both retail and high net...
What lies behind a hand shake, smile and a promise from a financial advisor you have just met when we are looking for investment advice?...
Boca Raton, Florida (BUSINESSWIRE) February 27, 2015 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com announced today that it is currently investigating UBS Financial...
