Tony Toska Allegedly Misrepresented Investments
Tony Toska (CRD #: 6165133), a broker registered with Northwestern Mutual Investment Services, is alleged to have misled an investor, according to his BrokerCheck record, accessed on April 8, 2022. Keep reading if you want to know more about Tony Toska’s conduct as a broker.
Allegations of Misrepresentation
In a dispute filed on February 3, 2022, an investor alleged that, in or around January 2021, Tony Toska misrepresented the gains the client would receive in an investment advisory account. The dispute was denied by the firm.
Investors should know, however, that firms do not need to allow an external review to deny disputes. Investors can still seek FINRA arbitration and potentially recover their losses in these situations.
FINRA Rule 2020
FINRA Rule 2020 prohibits brokers from using manipulative, deceptive, or other unethical means of influencing investors’ decisions. This includes a misrepresentation of investments’ risks and rewards.
Tony Toska has passed the following exams:
- Series 65 - Uniform Investment Adviser Law Examination
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 7 - General Securities Representative Examination
He is a registered broker in seven states and a registered investment adviser in Florida.
Kurta Law Can Help
If you worked with Tony Toska and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.