Investigation of Kalos Capital, Inc. Broker Kyle Kirwan

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 been the subject of two customer complaints between 2020 and 2021, according to his CRD… Read More

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 was closed without action, according to his CRD report. The most recent complaints are regarding:… Read More

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 as an investment adviser. Lundquist has been an advisor representative with Present Elevated Asset Management… Read More

RBC Capital Markets, LLC broker Joseph Chu (CRD# 4546805) faces 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 & Smith Incorporated in Greenwich, Connecticut from 2002 to 2018. Chu has been the subject of… Read More

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 complaints in 2020, according to his CRD report: July 2020. “Customers claim their investment in… Read More

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 between 2013 and 2020, according to his CRD report: May 2020. “Failure to provide suitable… Read More

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. In July 2020, the Massachusetts Securities Division opened an investigation into Kulch alleging, “Kulch over-concentrated… Read More

Erez Law is currently investigating Wells Fargo Clearing Services, Inc. broker Anthony Lapia (CRD# 1560467) regarding a customer complaint regarding an over-concentrated investment portfolio. Lapia has been registered with Wells Fargo Clearing Services, Inc. in Houston, Texas since 1996.  Lapia has been the subject of four customer complaints between 2001 and 2020, two of which… Read More

Erez Law is currently investigating Independent Financial Group, LLC broker Wenjinn Chang (CRD# 4536266) regarding unsuitable and over-concentrated investments. Chang has been registered with Independent Financial Group, LLC in Rockville, Maryland since 2012. Chang has been the subject of two customer complaints between 2018 and 2020, according to his CRD report: February 2020. “Alleges investments… Read More

There are options for clients of Wells Fargo Clearing Services, LLC broker Jeffrey Eiler (CRD# 1028716) who suffered investment losses. Eiler has been registered with Wells Fargo Clearing Services, LLC in Fort Lauderdale, Florida since 2006. Eiler has been the subject of 12 customer complaints between 1995 and 2018, according to his CRD report. Recent… Read More