Category: Unsuitable Investments
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
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
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Juan Guillermo Herrans Barreras (Juan Barreras) (CRD# 1742910) regarding unsuitable investment recommendations. Barreras has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Guaynabo, Puerto … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with National Securities Corporation broker William Braun (CRD# 1271500). Braun has been registered with National Securities Corporation in Boca Raton, Florida since 2007. In … Continue reading
Were you the victim of former Cadaret, Grant & Co., Inc. broker Gerald Dewes (CRD# 2465538) who is accused of unsuitable investment recommendations? He has been registered with Cadaret, Grant & Co., Inc. in East Amherst, New York from 2014 … Continue reading
Erez Law is currently investigating Concorde Investment Services, LLC broker Daniel Raupp (CRD# 4079107) regarding unsuitable investment recommendations. Raupp has been registered with Concorde Investment Services, LLC in Port Jefferson, New York since 2015. Prior to that, Raupp was registered … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Raymond James & Associates, Inc. broker Maria Hendershott (CRD# 818681). Hendershott has been registered with Raymond James & Associates, Inc. in Houston, Texas … Continue reading
Reid & Rudiger LLC broker Edward Rudiger Jr. (CRD# 2118724) faces customer complaints regarding investment losses. He has been registered with Reid & Rudiger LLC in New York, New York, since 1999. Edward Rudiger Jr. Customer Complaints He has been … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker Ken Balser (CRD# 704053) regarding Tesoro Del Alma, Inc. (Gold Mine) losses. Balser was registered with Cetera Advisors LLC in Colorado Springs, Colorado from 2013 to 2016, when he was … Continue reading