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...
SEC Sanctioned Aegis in Cease and Desist Order On July 28, 2022, Aegis agreed to SEC sanctions in a cease-and-desist order issued as a result...
Russian stock losses, margin calls, and pension fund losses are on the rise in light of Russia’s actions in Ukraine in early 2022. National investment...
Investigation into David Lerner Associates Proprietary Products: Energy 11 LP, Energy 12 LP, and Spirit of America Fund In November 2020, KlaymanToskes launched an investigation...
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...
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...
On March 7, 2021, Medley Capital Corp. (NYSE: MCC), a direct subsidiary of Medley Management Inc. (NYSE: MDLY), filed for Bankruptcy Protection from creditors –...
Boca Raton, Florida -- March 22, 2021 -- The Securities Law Firm of KlaymanToskes provides a Lordstown Motors Corp. (NASDAQ:RIDE) Alert to shareholders concerning the...
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...
National securities fraud law firm, KlaymanToskes, announces its investigation into David Lerner Associates for the unsuitable concentration in proprietary products invested non-traded Oil & Gas...
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...
KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Carnival Corporation (NYSE:CCL) (“Carnival”) who held large,...
KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by current and former employees and investors of Royal Caribbean Cruises (NYSE:RCL) (“Royal Caribbean”) who...
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...
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 and filed claims for UPS (NYSE: UPS) employees for losses sustained from unsuitable covered call writing strategies for concentrated UPS stock positions at Merrill...
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...
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...
New York, NY – February 3, 2017 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, comments on President Trump's executive orders targeting the Department...
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...
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...
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...
New York, NY – November 4, 2016 -- The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to inv estigate Wells Fargo (NYSE:WFC) and its broker dealer, Wells Fargo Advisors, for potential...
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...
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,...
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...
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...
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)...
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)...
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 25, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, comments on the recent SEC Form 8-K filing...
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...
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...