Luke Johnson Coastal Investment Advisors Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Scottsdale, AZ Broker

Luke Johnson Coastal Investment Advisors Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Scottsdale, AZ Broker

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Luke Johnson Coastal Investment Advisors Investigation”) into former Coastal Equities, Inc. broker Luke Michael Johnson (CRD # 3257008) in light of pending customer disputes concerning alleged unsuitable investment recommendations, including GPB Capital. Luke Johnson Coastal Investment Advisors Investigation According to FINRA BrokerCheck, Luke Johnson has 6 pending customer dispute and 16 customer disputes that are final. Four notable pending customer disputes that are pending include: $500,000 in alleged damages relating to unsuitable investment recommendations from 2014 to 2017. The employing firm when activities occurred which led to the complaint…

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Daniel O’Neill Aegis Capital Investigation”) into former Aegis Capital broker Daniel J. O’Neill (“Daniel O’Neill”) in light of complaint recently filed by FINRA. In July 2021, FINRA filed a Complaint against Daniel O’Neill relating to excessively and unsuitably trading the account of one of his customers at Aegis Capital. Daniel O’Neill Aegis Capital and the July 2021 FINRA Complaint On July 29, 2021, FINRA filed a complaint against Ex-Aegis Capital broker Daniel O’Neill. The Complaint alleged that Daniel O’Neill excessively and unsuitably traded the account of one of his…

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Lee Nordstrom Vorphal Wing Securities Investigation”) into former Vorphal Wing Securities broker Lee Victor Nordstrom (“Lee Nordstrom”) in light of a disciplinary bar disclosed by FINRA. In October 2021, FINRA barred Lee Nordstrom from the securities industry. FINRA barred Lee Nordstrom for his failure to appear for on-the-record testimony requested by FINRA. The on-the-record testimony relates to whether Lee Nordstrom engaged in potential unsuitable and excessive trading in several customer accounts. Lee Nordstrom Vorphal Wing Securities and the October 2021 FINRA Disciplinary Action According to BrokerCheck, FINRA barred Lee…