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Edward Klug Has Five Unpaid Tax Liens

Edward KlugPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that former Florida-based Newbridge Securities broker/adviser Edward Klug, who is currently not affiliated with any broker-dealer firm, has received a customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Klug (CRD# 1412221).

Edward Klug has spent 32 years in the securities industry and was most recently registered with Newbridge Securities Corporation in Boca Raton, Florida (2016-2018). Previous registrations include Investacorp in Appleton, Wisconsin (2014-2016); SII Investments in Appleton, Wisconsin (2010-2014); Stifel Nicolaus & Company in Kimberly, Wisconsin (1998-2010); Robert W. Baird & Company in Milwaukee, Wisconsin (1991-1998); Edward D. Jones & Company in St. Louis, Missouri (1990-1991); AG Edwards & Sons in St. Louis, Missouri (1989-1990); and Edward D. Jones & Company in St. Louis, Missouri (1985-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1985; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 16, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, Edward Klug has received one customer complaint and five unsatisfied tax liens.

In March 2018 the Wisconsin Department of Revenue filed a tax lien totaling $141,711.65 against him. The lien remains outstanding.

In May 2017 the Internal Revenue Service filed a tax lien totaling $482,714.33 against him. The lien remains outstanding.

In 2016 the Internal Revenue Service filed a tax lien totaling $44,229.28 against him. The lien remains outstanding.

In 2013 the Internal Revenue Service filed a tax lien totaling $48,636.33 against him. The lien remains outstanding.

In 2012 the Internal Revenue Service filed a tax lien totaling $6,695.41 against him. The lien remains outstanding.

In 2001 a customer alleged Edward Klug, while employed at Stifel Nicolaus & Company, failed to execute a sale and acted imprudently in connection to a sale of Qualcomm stock. The complaint settled for more than $5,900.

If you have lost money investing with Edward Klug, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.