Category: Elder Abuse Blog
Erez Law is currently investigating former Western International Securities financial advisors Clement Chichester (CRD# 1255275) and his wife Brittney Sias (CRD# 4274432) regarding elder abuse of a client and scamming her out of more than $1 million in cash and … Continue reading
Were you the victim of NJLI Advisors L.L.C. financial advisor and owner Michael Siegel (CRD# 1950871)? In February 2018, the New Jersey Bureau of Securities sanctioned Siegel to $100,000 in civil and administrative penalties and fines and expelled him from … Continue reading
In January 2018, FINRA awarded a group of 17 investors $4.3 million, alleging that former First Allied Securities Inc. financial advisor Anthony Diaz (CRD# 4131948) put their retirement savings into risky, unsuitable investments. Diaz and First Allied Securities Inc. must … Continue reading
Erez Law is currently investigating former INVEST Financial Corporation financial advisor Roger Kroeger (CRD# 1526864) regarding embezzlement and money laundering in an elderly client’s account. Kroeger was registered with INVEST Financial Corporation in Ft. Lauderdale, Florida from 1990 to 2017, … Continue reading
Erez Law is currently investigating former Royal Alliance Associates, Inc. financial advisor Mark Perry (CRD# 1219294) regarding unsuitable investment recommendations to elderly clients. Perry was registered with Independent Financial Group, LLC in Mt. Pleasant, South Carolina from April to September … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Brian Berger (CRD# 3208127) regarding a fraudulent scheme that involved wire fraud and misappropriating elderly customers’ funds. Berger was registered with Newbridge Securities Corporation in Boca Raton, Florida from … Continue reading
Erez Law is currently investigating former TransAmerica Financial Advisors, Inc. financial advisor Daniel Glick (CRD# 2175655) regarding scamming elderly clients out of millions of dollars. Glick was registered with TransAmerica Financial Advisors, Inc. in Orland Park, Illinois from 2012 to … Continue reading
Erez Law is currently investigating Wedbush Securities Inc. financial advisor Mark Heiden (CRD# 2885156) who recommended his elderly clients invest in unsuitably risky, high-commission energy limited partnerships. Heiden has been registered with Wedbush Securities Inc. in Newport Beach, California since … Continue reading
Erez Law recently filed a $500,000 FINRA arbitration against Invex, LLC. The former Invex, LLC customers allege that the Miami, Florida-based firm recommended a speculative and unsuitable strategy of concentrating the elderly couple’s portfolio in three high risk, complex and … Continue reading
Erez Law is currently investigating Worden Capital Management LLC financial advisor Michael Stanton (CRD# 1448072) regarding failure to supervise a registered representative from churning and excessive trading in an elderly, blind and disabled customer’s account. Stanton has been registered with … Continue reading