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Tag: Misrepresentation Omission of Material Facts

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...

BDC INVESTOR ALERT: KlaymanToskes Investigates Investor Losses in Response to Medley Capital Bankruptcy Filing Attributed to Portfolio Loan Losses Related to the COVID Pandemic

April 29, 2021

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...

BDC INVESTOR ALERT: Medley Capital Corp Files for Bankruptcy Protection in the Wake of Portfolio Loan Losses Attributed to the COVID Pandemic

April 05, 2021

On March 7, 2021, Medley Capital Corp. (NYSE: MCC), a direct subsidiary of Medley Management Inc. (NYSE: MDLY), filed for Bankruptcy Protection from creditors –...

LORDSTOWN MOTORS CORP CLASS ACTION ALERT: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Truck Manufacturer

March 22, 2021

Boca Raton, Florida -- March 22, 2021 -- The Securities Law Firm of KlaymanToskes provides a Lordstown Motors Corp. (NASDAQ:RIDE) Alert to shareholders concerning the...

FINRA Fines VALIC Financial Advisors $350,000 for Failure to Supervise Variable Annuity Sales Practices

March 19, 2021

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...

KlaymanToskes Investigates JP Morgan in Light of OCC $250 Million Civil Money Penalty Against JP Morgan Chase Bank, N.A. for Inadequate Supervision of Investment Advisory Business

December 03, 2020

On November 24, 2020, the Office of the Comptroller of the Currency (“OCC”) announced it would assess a $250 million civil money penalty against JPMorgan...

SEC Charges Broker-Dealers and Investment Advisory Firms for the Sales of Complex Exchange-Traded Products With More than $3 Million Returned to Retail Investors

November 13, 2020

The securities industry watchdog, the Securities and Exchange Commission (“SC”) filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms...

NOTICE TO MORGAN STANLEY CLIENTS: KlaymanToskes Announces Investigation of Morgan Stanley Following $8 Million in SEC Fines for Exchange Traded Fund Violations

February 21, 2017

New York, NY -- February 21, 2017 – The Securities Arbitration Law Firm of KlaymanToskes www.klaymantoskes.com, announces an investigation into sales practice violations by Morgan...

FINRA Fines Broker $219,000 for Private Placement Violations

November 14, 2016

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...

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...

FINRA Submits Rule to SEC to Protect Against Elderly Financial Fraud

October 25, 2016

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...

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...

FINRA Sanctions Securities America for Not Offering Certain Clients Mutual Fund Discounts

October 18, 2016

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,...

Wells Fargo Advisors Targeted by Plaintiff Attorneys

October 12, 2016

Published by Financial Advisor IQ October 12, 2016 Allegations of improper cross-selling methods at Wells Fargo continue to spread into its advisor business following the...

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...

UPS EMPLOYEE/SHAREHOLDER ALERT: The Securities Arbitration Law Firm of KlaymanToskes Files $500,000 FINRA Arbitration Claim on Behalf of a UPS Employee for Losses Sustained as a result of Merrill Lynch’s Unsuitable Recommendation to Invest in Rampart Options Management Services Program

August 26, 2016

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...

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...

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate and Pursue FINRA Arbitration Claims Against VSR Financial Services for Sales Practice Violations Related to Non-Traded Alternative Investments

April 06, 2016

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...

Notice to Franklin Square Energy and Power Fund Investors: The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Potential FINRA Sales Practice Violations by Brokerage Firms

April 06, 2016

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...

Correction – The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Potential Sales Practice Violations by Cetera Advisors Related to Solicited Investments in Non-Traded REITs and BDCs

April 01, 2016

New York (Globe Newswire) – April 1, 2016 – In a release issued under the headline “The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation...

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Cetera Advisors Sales Practice Violations Related to Solicited Investments in Non-Traded REITs and BDCs

March 24, 2016

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)...

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Sales Practice Violations of Brokerage Firms Related to Concentrated Positions in Energy Company Stocks Collateralized by Margin Loans

March 21, 2016

Boca Raton, Florida (Businesswire) – March 21, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces an investigation into Financial Industry Regulatory (FINRA)...

Notice to All United Development Funding IV Investors with Losses in Excess of $250,000 from the Securities Arbitration Law Firm of KlaymanToskes

March 02, 2016

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)...

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Sales Practice Violations of Brokerage Firms Related to United Development Funding IV Non-Traded REIT and Initial Public Offering

February 26, 2016

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...

The Securities Arbitration Law Firm of KlaymanToskes Comments on Trading Halt in United Development Funding IV Shares Reported in SEC Filings

February 25, 2016

Boca Raton, Florida (Globe Newswire) February 25, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, comments on the recent SEC Form 8-K filing...

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...

The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Sales Practices Related to UBS ETRACS ETNs

January 20, 2016

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)...

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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