Erez Law Investigates Wells Fargo Clearing Services, LLC Financial Advisor James Schaedler Jr.
Posted on Saturday, January 5th, 2019 at 10:20 am
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 he was terminated regarding, “Discharged after allegations that the financial advisor’s daughter received funds via […]
Have You Suffered 1st Global Losses with Financial Advisor Henry Wieniewitz?
Posted on Wednesday, October 17th, 2018 at 5:27 pm
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 2016. He has been unregistered with FINRA since that time, but has alleged to have […]
Seniors Beware: UBS Financial Services Inc. Financial Advisor Dwight West
Posted on Friday, September 28th, 2018 at 2:45 pm
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 1986 and 2018, according to his CRD report. One recent complaint is regarding: May 2018. […]
Were You the Victim of Securities America, Inc. Financial Advisor Hector May and His Ponzi Scheme?
Posted on Monday, August 13th, 2018 at 4:00 pm
Erez Law is currently investigating Securities America, Inc. financial advisor Hector May (CRD# 323779) regarding a ponzi scheme that defrauded many people including elderly investors. May has been registered with Securities America, Inc. in New City, New York from 1998 to 2018 and with Securities America, Inc. from 1994 to 1998, when he was terminated […]
Elder Abuse Alert: Stifel, Nicolaus & Company, Inc. Stole More Than $200,000 from Elderly Client
Posted on Wednesday, August 1st, 2018 at 8:29 am
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 to May 2018, when he was terminated regarding, “FA took money from a client account […]
Seniors Beware! Former Independent Financial Group, LLC Financial Advisor Kyusun Kim
Posted on Wednesday, July 11th, 2018 at 7:58 am
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 to 2017. Previously, Kim was registered with Independent Financial Group, LLC in San Diego, California […]
Elder Abuse: Were You a Victim of Former Western International Securities Financial Advisor Clement Chichester?
Posted on Wednesday, May 2nd, 2018 at 6:26 pm
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 property. In February 2018, the California Department of Insurance arrested Chichester and Sias for allegedly […]
Elder Abuse Alert: NJLI Advisors L.L.C. Financial Advisor and Owner Michael Siegel
Posted on Tuesday, March 27th, 2018 at 8:01 am
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 the association after it was found that he defrauded an elderly couple of at least […]
Former First Allied Securities Inc. Customers Awarded $4.3 Million for Risky and Unsuitable Investments
Posted on Tuesday, February 6th, 2018 at 12:12 pm
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 pay $1,033,166 in compensatory damages, $2,892,864 in punitive damages and $413,266 in attorneys fees. The […]
Former INVEST Financial Corporation Financial Advisor Roger Kroeger Charged with Embezzlement and Money Laundering
Posted on Monday, January 29th, 2018 at 1:32 pm
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, when he was terminated regarding, “Representative admitted to facilitating a loan to his sister from […]