Category: Over Concentration
Were you the victim of former Cambridge Investment Research, Inc. broker Douglas Buczak (CRD# 1334415) who is accused of over-concentrating investments in customer accounts? He has been registered with Raymond James Financial Services, Inc. in Troy, Michigan from 2018 to … Continue reading
Erez Law recently filed a FINRA arbitration against Raymond James Financial Services, Inc., regarding investments in Northstar Financial Services (Bermuda) Ltd., a Bermuda-based annuity and life insurance company that serves the needs of high net worth clients around the globe. … Continue reading
Were you the victim of Raymond James & Associates, Inc. broker Edward Fernberger Jr. (CRD# 206743)? Fernberger has been registered with Raymond James & Associates, Inc. in Doylestown, Pennsylvania since 2016. Fernberger has been the subject of one customer complaint, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Kalos Capital, Inc. broker Kyle Kirwan (CRD# 5088691). Kirwan has been registered with Kalos Capital, Inc. in Henderson, Nevada since 2015. Kirwan has … Continue reading
Did you lose money investing with broker Louis Wargo (CRD# 1416101)? Wargo has been registered with FSC Securities Corporation in Brecksville, Ohio since 2003. Wargo has been the subject of three customer complaints between 2004 and 2020, one of which … Continue reading
Were you the victim of Elevated Asset Management LLC advisor Nathan Lundquist (CRD# 2973417)? Lundquist was registered with Voya Financial Advisors, Inc. in Wilson, Wyoming from 2004 to 2017. Lundquist was previously registered as a broker and is currently registered … Continue reading
RBC Capital Markets, LLC broker Joseph Chu (CRD# 4546805) faces multiple customer complaints for energy sector losses. Chu has been registered with RBC Capital Markets, LLC in Stamford, Connecticut since 2018. Previously, Chu was registered with Merrill Lynch, Pierce, Fenner … Continue reading
There are options for customers of National Securities Corporation broker Willard Pugh (CRD# 1757428) who suffered investment losses. Pugh has been registered with National Securities Corporation in Boca Raton, Florida since 2016. Pugh has been the subject of two customer … Continue reading
Did you lose money investing with Advisory Group Equity Services Ltd. broker Ronald Birnbaum (CRD# 2382580)? Birnbaum has been registered with Advisory Group Equity Services Ltd. in Newton, Massachusetts since 2001. Birnbaum has been the subject of six customer complaints … Continue reading
Former Next Financial Group, Inc. broker Charles Kulch (CRD# 2371584) is being investigated for over-concentrating customer investments in illiquid, risky and high-commission products. Kulch was registered with Next Financial Group, Inc. in Nashua, New Hampshire from 2006 to June 2020. … Continue reading