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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
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 currently investigating former NYLife Securities LLC broker Kari Bracy (CRD# 5656186) regarding Future Income Payments, LLC investment losses. Bracy was registered with NYLife Securities LLC in Jacksonville Beach, Florida from 2009 to 2019. In January 2020, Bracy … Continue reading