Klayman & Toskes, P.A., a nationally known law firm, practices exclusively in securities arbitration and litigation matters. The Firm represents investors, throughout the United States as well as across the world, who have sustained recoverable damages as a result of specific failures by financial advisors and the brokerage firms’ supervisory procedures. Klayman & Toskes, P.A., with its main office located in Boca Raton, Florida and additional offices in California, New York and San Juan, Puerto Rico, has achieved substantial recoveries on the behalf of aggrieved investors.
Klayman & Toskes, P.A. helps investors through the Financial Industry Regulatory Authority (“FINRA”), JAMS, and AAA securities arbitration and securities litigation matters. Further, the firm has handled securities litigation matters in state court and securities class action cases in federal court. The Firm also provides forensic accounting, securities litigation support and expert testimony in securities arbitration and securities litigation matters.
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Common abuses are:
- Unsuitable Recommendations
- Unauthorized Transactions
- Mutual Fund Switching
- Margin Over-Concentration
- Failure to Hedge Concentrated Stock Positions
- Employee Stock Option Abuse
- Puerto Rico Closed-End Bond Funds Our law firm is pursuing securities arbitration claims in the arbitration forum established by the Financial Industry Regulatory Authority (“FINRA”) to recover losses sustained in Puerto Rico bond funds, sold by full-service brokerage firms, including UBS Financial Services of Puerto Rico and Oriental Financial Services, to their customers. Klayman & Toskes has teamed up the law firm of Carlo ... Read more
- Capital Solutions f/k/a Hennessey Fund Our law firm has been retained by investors who sustained losses in Capital Solutions Monthly Income Fund f/k/a Hennessey Financial Monthly Income Fund. In September 2010, the Securities and Exchange Commission (“SEC”) sued Capital Solutions and related parties, alleging that it was a Ponzi Scheme. It is believed that investors have ... Read more
- UBS-Lehman Class Action Opt-Out Deadline To Opt-Out of the UBS-Lehman Notes Class Action is November 19, 2013 UBS Financial Services customers who are class members in the securities class action lawsuit filed against UBS, Case No. 09-md-02017, which involves losses sustained in certain Lehman Principal Protection Notes, Auto-Callable Notes, and Return Optimization Notes (collectively referred to as “Lehman Notes”), should ... Read more
- Jodie L. Miller – LPL, VALIC, Tri-Med Corporation Our law firm is investigating LPL Financial (“LPL”) and VALIC Financial Advisors in connection with the supervision of Jodie L. Miler (“Miller”), CRD No. 4772684. Miller was based out of Tampa, Florida. On November 12, 2014, Miller entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry Regulatory Authority (“FINRA”), in ... Read more
- Michael J. Frew – Wells Fargo Advisors Our law firm is investigating Wells Fargo Advisors (“WFA”) in connection with the supervision of Michael J. Frew (“Frew”). On May 28, 2014, Frew entered into a Letter of Acceptance, Waiver and Consent (“AWC”) in connection with allegations of accepting loans from customers and converting customer funds. In the AWC, Frew consented to a bar ... Read more
- Marc Halan Baldinger – LPL Financial Our law firm is investigating LPL Financial (“LPL”) in connection with the supervision of Marc Halan Baldinger (“Baldinger”), CRD No. 1942349. Baldinger was based out of Stuart, Florida with LPL from September 2001 to December 2012. On November 14, 2014, Baldinger entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry ... Read more