Investors File Disputes About Stephen Tosha

Soreide Law Group is investigating possible investor claims against securities broker Stephen Tosha (also known as Stephen Patrick Tosha) [CRD: 5970854, Dallas, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated.

CA Dept. Of Insurance Sanctions Stephen Tosha Over FINRA Sanctions

Also on March 1, 2020, California Insurance Commissioner issued Case: OBS 3809-A sanctioning Stephen Tosha for infractions. Specifically, Tosha was issued a suspension as insurance agent because of the regulatory sanctions issued by FINRA.

Tosha Sanctioned By FINRA For False Records Or Books

Additionally, FINRA issued Case: 2018058794401 on May 8, 2019 sanctioning Stephen Tosha for infractions. Allegedly, Tosha caused the securities broker dealer to maintain false records or books relating to a portfolio loan account. Therefore, Tosha was issued a 2-month suspension as a securities broker, meaning FINRA disallowed him from maintaining an association with FINRA-member firms. Also, the financial regulator issued him a fine in the amount of $10,000.

Tosha Employment Information

• Tosha has worked for Merrill Lynch Pierce Fenner Smith Incorporated in Dallas, TX, as a securities broker since November 15, 2016.
• Tosha has worked for Merrill Lynch Pierce Fenner Smith Incorporated in Dallas, TX, as a financial advisor since November 15, 2016.

Damages Resulting From Merrill Lynch Pierce Fenner Smith Incorporated Securities Broker Stephen Tosha?

Did you suffer damages because of securities broker Stephen Tosha? Get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors in the United States, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Stephen Tosha and brokerage firms Tosha worked for deny any and all allegations of sales practice violations.