Klayman & Toskes, P.A.
- Boca Raton, Florida Office
Peninsula Plaza
2424 N. Federal Highway
Suite 450
Boca Raton, Florida 33431
Phone: (561) 997 - 9956 - New York, New York Office
11 Broadway
Suite 715
New York, New York 10004
Phone: (212) 269 - 9956 - Newport Beach, California Office
4675 MacArthur Court
Suite 550
Newport Beach, California 92660
Phone: (949) 721-9956
- Boca Raton, Florida Office
Recent Posts
- HSBC Fined $375,000 by FINRA for Unsuitable Sales of Inverse Floating Rate CMOs to Retail Customers and Related Supervisory Failures
- FINRA Orders Merrill Lynch to Pay Over $2.5 Million In Connection With Unit Investment Trusts Sales Charge Discount Failures
- Notice From the Securities Arbitration Law Firm of Klayman & Toskes to All UBS Customers Who Invested in 1861 Capital Management Municipal Bond Arbitrage Funds
- SunTrust Investment Services Ordered by FINRA to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions
- Deutsche Bank Securities fined $7.5 Million for Negligent Misrepresentations Related to Subprime Securitizations
- FINRA Announces That It Will Make Additional Information About Brokers, Former Brokers Publicly Available Through BrokerCheck
- Goldman Sachs Agrees to Pay $550 Million to Settle SEC Charges Relating to the ABACUS CDO
- FINRA Sanctions Citigroup for $1.5 Million Due to Supervisory Failures in Connection with a Scheme to Misappropriate Millions of Dollars Belonging to Michigan and Tennessee Cemeteries
- Notice To All Provident Royalties Investors Eligible To Vote For Accepting or Rejecting The Consolidated Plan of Liquidation
- FINRA Issues Regulatory Notice 10-22 Which Reminds Broker-Dealers of Their Obligation to Conduct Reasonable Investigations in Regulation D Offerings and to Make Suitable Recommendations under NASD Rule 2310
- SEC Files Securities Fraud Action Against Goldman Sachs Concerning Its ABACUS 2007-AC1 CDO
- The Securities Law Firm of Klayman & Toskes Announces that the SEC and FINRA Have Charged Morgan Keegan Concerning Its RMK Bond Funds
Categories
- 1861 Capital Management (1)
- Arbitration (8)
- Auction Rate Securities (1)
- Banc of America Investment Services (1)
- Bank of America (3)
- Broker Check (1)
- CIT Group (1)
- Citigroup (3)
- Class Action Opt-Out (1)
- Cohmad Securities (1)
- Collateralized Debt Obligations (1)
- Collateralized Mortgage Obligations (1)
- Commentary (1)
- Concentration (2)
- Credit Suisse (1)
- Deutsche Bank Securities (1)
- Enforcement (13)
- Failure to Supervise (4)
- Fannie Mae (1)
- Fiduciary Duty (1)
- Financial Reform (1)
- FINRA (16)
- Fraud (8)
- General (10)
- Goldman Sachs (1)
- H&R Block Financial Advisors (1)
- HSBC Securities (1)
- ING Financial Partners (3)
- Legal Rights and Options (2)
- Lehman Brothers Holdings (1)
- Lehman Brothers Principal Protected Notes (1)
- Leverage (1)
- Madoff (1)
- Martin Act (1)
- McGinn (1)
- Medical Capital (5)
- Merrill Lynch (3)
- Misrepresentation (3)
- Morgan Keegan (1)
- Mortgage-backed securities (3)
- Municipal Arbitrage Strategy (1)
- Negligence (1)
- NY Attorney General (1)
- Omission (1)
- Oppenheimer California Municipal Bond Fund (1)
- Opt-out (1)
- Pacific Cornerstone Capital (2)
- Ponzi Scheme (3)
- Private Placements (6)
- Provident Asset Management (1)
- Provident Royalties/Shale Royalties (4)
- Regulation D (2)
- Regulatory Notice (1)
- Reverse Convertible Notes (1)
- Rhonda Breard (3)
- Risk Management Strategies (1)
- RMK Bond Funds (1)
- Sanctions (1)
- Schwab YieldPlus (1)
- SEC (4)
- Smith & Co. (1)
- Southern District of New York (1)
- Structured Asset-Backed Securities (1)
- Subprime (2)
- Suitability (5)
- SunTrust Investment Services (1)
- UBS (1)
- Unsuitability (2)
Archives
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