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Tag: Securities Concentration

NOTICE TO WORKHORSE GROUP SHAREHOLDERS: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Company

March 16, 2021

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 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...

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 INVESTORS WHO SUFFERED STOCK MARKET LOSSES DUE TO COVID-19: KlaymanToskes Commences Investigation into Damages Sustained by Investors who Held Large, Unhedged Concentrated Positions, Margin Accounts, Unsuitable Allocations, or were Excessively Traded

March 24, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating the damages sustained by investors who held large, unhedged concentrated positions, margin accounts, unsuitable asset allocations, or...

NOTICE TO UBS PUERTO RICO CUSTOMERS: KlaymanToskes and Carlo Law Offices File $15 Million FINRA Claim Against UBS for Concentration in Puerto Rico Government Bonds and Closed-End Bond Funds in the Wake of Puerto Rico’s Bankruptcy Filing

May 05, 2017

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...

Broker Barred by FINRA for Excessive Trading in Client IRA Accounts

March 28, 2017

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...

NOTICE TO UBS PUERTO RICO CUSTOMERS: KlaymanToskes Files $8.5 Million Suit Against UBS as it Investigates Claims for Over-Concentration in Puerto Rico Government Bonds and Closed-End Bond Funds

January 13, 2017

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...

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...

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 Firms of KlaymanToskes and Carlo Law Offices Announce Investigation of Santander Securities, LLC on Behalf of Puerto Rico Investors for FINRA Sales Practice Violations

October 13, 2015

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...

The Securities Arbitration Law Firm of KlaymanToskes Announces Investigation into UBS ETRACS ETNs Linked to Declining Energy and Commodity Prices

October 09, 2015

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....

Recent IBM Class Action Lawsuit Provides Investors Loss Recovery Options

March 27, 2015

Recently, an IBM Class Action Lawsuit (Case No. 15-CV-01513) was filed in the United States District Court for the Southern District of New York for...

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