FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
Soreide Law Group was recently contacted by an investor from California who believes to have a claim against SIGMA FINANCIAL CORPORATION broker:
TOMAS JUHAN VELKEN (TOMAS J VELKEN) CRD#: 1600404
This particular investor suffered financial losses in Bluerocks Enhanced Multifamily REIT.
TOMAS J VELKEN has been in the securities industry for 14 years and was listed only with:
SIGMA FINANCIAL CORPORATION
1078 CAROL LANE #203
LAFAYETTE, CA 94549
According to FINRA’s BrokerCheck, which is available to the public, TOMAS J VELKEN has 15 Disclosures on his report. All 15 are “Customer Disputes.” Of these disputes, 13 have been settled and all received cash settlements, several are six figure awards. One of the disputes is pending and one was withdrawn.
Some of the allegations listed in these “Customer Disputes” are: fraud, misrepresentation, breach of fiduciary duty, failure to conduct a reasonable due diligence investment program, and negligence in connection with TIC (Tenant in Common) investments.
The significance of TOMAS J VELKEN’s customer complaints on his BrokerCheck, is underscored in FINRA’s NOTICE to MEMBERS 03-49. In 2003, FINRA conducted a review of the CRD’s of all 663,000 registered representatives, only 2,751 (.41%) had been the subject of (3) or more customer complaints. In other words TOMAS J VELKEN’s 15 customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
If you are or were a client of LaFayette, California, SIGMA FINANCIAL CORPORATION's broker, TOMAS J VELKEN, and experienced losses due to his recommendations or actions, call Soreide Law Group and speak to a securities lawyer regarding the possible recovery of your losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis. Let our years of experience work for you.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
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