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Erez Law Files Claim for Against Raymond James Financial Services, Inc. Broker Alberto Valdes Who Allegedly Sold Northstar

Erez Law Files Claim for Against Raymond James Financial Services, Inc. Broker Alberto Valdes Who Allegedly Sold Northstar

Posted on Monday, September 20th, 2021 at 8:37 pm    

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. Their customer alleges that Alberto Valdes (CRD #4378138), who has been a registered representative of… Read More

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Options for Clients of Raymond James & Associates, Inc. Broker Edward Fernberger Jr.

Posted on Monday, August 9th, 2021 at 6:12 pm    

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, according to his CRD report: April 2021. “Deceased clients successor trustee and executor alleges FA… Read More

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Investigation of Kalos Capital, Inc. Broker Kyle Kirwan

Posted on Thursday, June 24th, 2021 at 10:48 pm    

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

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FSC Securities Corporation Broker Louis Wargo Recovery Loss Options

Posted on Wednesday, January 6th, 2021 at 12:40 am    

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

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Investment Loss Options for Clients of Elevated Asset Management LLC advisor Nathan Lundquist

Posted on Tuesday, October 13th, 2020 at 1:08 am    

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

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RBC Capital Markets, LLC Broker Joseph Chu Energy Sector Losses

Posted on Tuesday, October 13th, 2020 at 1:03 am    

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 & Smith Incorporated in Greenwich, Connecticut from 2002 to 2018. Chu has been the subject… Read More

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Investment Loss Options for Clients of National Securities Corporation Broker Willard Pugh

Posted on Tuesday, September 22nd, 2020 at 8:01 pm    

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

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Investor Alert: Advisory Group Equity Services Ltd. Broker Ronald Birnbaum

Posted on Tuesday, September 15th, 2020 at 7:10 pm    

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

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Did You Suffer Investment Losses Due to Recommendations by Former Next Financial Group, Inc. Broker Charles Kulch?

Posted on Tuesday, September 8th, 2020 at 7:01 pm    

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

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Wells Fargo Clearing Services, Inc. Broker Anthony Lapia Accused of Over-Concentration

Posted on Wednesday, July 8th, 2020 at 2:43 pm    

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

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