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Erez Law is currently investigating former SagePoint Financial, Inc. broker Troy Baily (CRD# 4458930) regarding Future Income Payments, LLC (FIP LLC) investment losses. Baily was registered with SagePoint Financial, Inc. in Omaha, Nebraska from 2016 to 2018 and from April … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Tiffany Callahan (CRD# 5145572)? Callahan has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2015. Callahan has been the subject of one customer complaint, according … Continue reading
Were you the victim of KCD Financial, Inc. broker Christopher Fess (CRD# 1335361)? Fess has been registered with KCD Financial, Inc. in Frisco, Texas since 2004. Fess has been the subject of five customer complaints between 2002 and 2020, one … Continue reading
Erez Law is currently investigating National Securities Corporation broker Vincent Villani (CRD# 4296670) regarding private placement investment losses. Villani has been registered with National Securities Corporation in New York, New York since 2014. Villani has been the subject of one … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Henry Krich (CRD# 4044044) regarding customer investment losses. Krich has been registered with Wells Fargo Clearing Services, LLC in Phoenix, Arizona since 2015. Krich has been the subject of … Continue reading
Erez Law is currently investigating former Madison Avenue Securities, LLC broker Robert Luley Jr. (CRD# 4176139), who is alleged to recommend unsuitable GPB Capital Holdings investments. Robert Luley Jr. was registered with Pruco Securities, LLC in Charlotte, North Carolina from … Continue reading
In May 2020, Erez Law filed a FINRA claim against UBS Financial Services for Yield Enhancement Strategy (YES) program losses with broker Allan Klenke. The Erez Law client alleges that Klenke recommended the client invest in the YES program, and … Continue reading
Erez Law filed FINRA arbitration claims against UBS Financial Services Inc. for Yield Enhancement Strategy (YES) program losses with its broker Jose Cornide. It is alleged that UBS’ YES program was represented to investors as a low-risk strategy that allows … Continue reading
Erez Law is currently investigating Herbert J. Sims & Co, Inc. broker Shane Applebaum (CRD# 4772668), who is accused of unsuitable investment recommendations and the sale of structured products. Applebaum has been registered with Herbert J. Sims & Co, Inc. … Continue reading
There are options for clients of former Barclays Capital Inc. broker Tony Esses (CRD# 4643285) who suffered investment losses. Esses has been registered with Wells Fargo Clearing Services, LLC in Miami, Florida since 2014. Esses has been the subject of … Continue reading