Category: Elder Abuse
Were you the victim of elder abuse with former Cetera Advisors LLC financial advisor Stephen Carver (CRD# 2230161)? Carver was registered with the following brokerage forms during the past few years: Lifemark Securities Corp. in Peoria, Illinois (11/08/2017 – 12/31/2018) … Continue reading
Former Wells Fargo Clearing Services, LLC financial advisor James Schaedler Jr. (CRD# 4264512) has nearly $1 million customer complaint regarding misappropriation of funds. Schaedler was registered with Wells Fargo Clearing Services, LLC in Anaheim, California from 2010 to 2017, when … Continue reading
Erez Law is currently investigating financial advisor Henry Wieniewitz (CRD# 4469542) regarding losses sustained from investments in 1st Global. He also goes by Trae Wieniewitz. Wieniewitz was registered with Taylor Capital Management Inc. in Knoxville, Tennessee from 2010 to January … Continue reading
Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009. West has been the subject of five customer complaints between … Continue reading
Former Stifel, Nicolaus & Company, Incorporated financial advisor Mitchell Yanow (CRD# 2148171) barred by FINRA for stealing more than $200,000 from an elderly client. Yanow has been registered with Stifel, Nicolaus & Company, Incorporated in Boca Raton, Florida from 2015 … Continue reading
Were you the victim of former Independent Financial Group, LLC financial advisor Kyusun Kim (CRD# 2864085) who is alleged to make unsuitable investment recommendations to senior customers? Kim was registered with Sandlapper Securities, LLC in San Diego, California from 2016 … Continue reading
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