Author: Jeff Erez
Erez Law is currently investigating former MML Investors Services, LLC broker Charles Evan (CRD# 836083) regarding investment losses. Evan was registered with MML Investors Services, LLC in Wellesley, Massachusetts from 2017 to 2019, when he was terminated regarding, “Terminated in … Continue reading
Former First Allied Securities broker Masood Azad (CRD# 4798445) is accused of false and misleading statements causing his clients to suffer investment losses. Azad was registered with First Allied Securities in League City, Texas from 2015 to 2017, when he … Continue reading
Were you the victim of former Morgan Stanley broker Kevin Doyle (CRD# 2102345)? Doyle has been registered with Raymond James & Associates, Inc. in Tulsa, Oklahoma since 2018. Previously, Doyle was registered with Morgan Stanley in Tulsa, Oklahoma from 2009 … Continue reading
Did you suffer investment losses due to recommendations by Kalos Capital, Inc. broker Kristian Finrock (CRD# 5421676)? Finrock has been registered with Kalos Capital, Inc. in Evansville, Wisconsin since 2012. Finrock has been the subject of one customer complaint, according … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Kirk Badii (CRD# 5829768) regarding investment losses. Badii has been registered with Independent Financial Group, LLC in Irvine, California since January 2020 and with Cantella & Co., Inc. in … Continue reading
Were you the victim of former American Capital Partners, LLC broker Anthony Vultaggio Jr. (CRD# 5292477)? Vultaggio has been registered with American Capital Partners, LLC in East Meadow, New York from 2007 to 2017. In September 2017, FINRA barred Vultaggio … Continue reading
There are options for customers of former NYLife Securities LLC broker Gabriel Hynes (CRD# 3152541) who suffered losses due to investments in Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. Hynes was … Continue reading
Erez Law is currently investigating Transamerica Financial Advisors and ProEquities, Inc. broker Narinder Singh (CRD# 3100308) regarding Express Asset and Wealth Management, Inc. investment losses. Singh was registered with Farmers Financial Solutions, LLC in Sacramento, California from 2018 to 2019. … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Ted Cadwallader (CRD# 3256070) regarding unsuitable investment recommendations in Adiabatic Solutions, LLC. Cadwallader has been registered with Ameriprise Financial Services, Inc. in Getzville, New York from 1999 to 2014, … Continue reading
Were you the victim of former Principal Securities, Inc. broker John Krohn (CRD# 2722975)? Krohn has been registered with Principal Securities, Inc. in West Des Moines, Iowa from 1996 to 2017. Krohn is accused of selling away, which is the … Continue reading