Jan 20, 2022

Regan Rohl of Wells Fargo Advisors Financial Network, LLC

DID REGAN ALLLEN ROHL CAUSE YOU INVESTMENT LOSSES? Regan Allen Rohl formerly with Wells Fargo Advisors Financial Network, LLC Has 16 Customer Complaints For Alleged Broker Misconduct Who is Regan A. Rohl formerly with Wells Fargo Advisors Financial Network, LLC? Regan Rohl (CRD #1877645) who was formerly registered with Wells Fargo Advisors Financial Network, LLC and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, LLC, Regan Rohl was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo Advisors Financial Network, LLC Broker Misconduct In his career, Regan Rohl has been the subject of 16 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Ten of Regan Rohl’s 16 customer complaints were settled in favor of investors. Five of the customer complaints were denied by his former employer antedate the customers have not taken any further action. There is currently one pending customer complaint filed against Regan Rohl’s former employer Wells Fargo Advisors Financial Network, LLC for investment losses caused by his alleged misconduct. Allegations Against Regan Rohl A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the financial advisor engaged in unauthorized trading made unsuitable investment recommendations. Claimants allege that their financial advisor made unauthorized transactions, and that he over-concentrated their accounts in oil and gas related investments. Claimants allege that the financial advisor made unsuitable investment recommendations to purchase direct investments in limited partnership interests. Claimants allege that their financial advisor misrepresented the risks associated with a concentration of their investments in the energy sector. Claimants allege that the financial advisor made unsuitable investment recommendations that the clients over-concentrated their portfolio in the energy sector and then made unsuitable recommendations to continue to hold those investments after they began to decline in value. Claimants allege that the financial advisor made unsuitable investment recommendations to buy and concentrate their portfolio into the oil and gas sector master limited partnerships and closed-end funds. Regan Rohl Red Flags & Your Rights As An Investor Of course, Regan Rohl did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Regan Rohl at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Regan Rohl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, LLC about Regan Rohl also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Advisors Financial Network, LLC   If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Regan Rohl and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Phillip Smelser of Cambridge Investment Research, Inc.

DID PHILLIP LLOYD SMELSER CAUSE YOU INVESTMENT LOSSES? Phillip Lloyd Smelser with Cambridge Investment Research, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Phillip L. Smelser with Cambridge Investment Research, Inc.? Phillip Smelser (CRD #2338831) who is currently registered with Cambridge Investment Research, Inc. and located in Woodfin, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Phillip Smelser was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct In his career, Phillip Smelser has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Phillip Smelser’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Phillip Smelser’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct. Allegations Against Phillip Smelser A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitable investment recommendations and misrepresentations involving mutual funds and real estate investments. Claimant alleges the sale of unsuitable investments, misrepresentations and other sales practice violations. Phillip Smelser Red Flags & Your Rights As An Investor Of course, Phillip Smelser did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Phillip Smelser at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Phillip Smelser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Phillip Smelser and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Steven Skipper of LPL Financial LLC

DID STEVEN TREVOR SKIPPER CAUSE YOU INVESTMENT LOSSES? Steven Trevor Skipper with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Steven T. Skipper with LPL Financial LLC? Steven Skipper (CRD #4265009) who is currently registered with LPL Financial LLC and located in Murfreesboro, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Steven Skipper was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Steven Skipper has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Steven Skipper’s 2 customer complaints was settled in favor of investors. The other complaint was denied by LPL Financial, LLC, and the customer’s yet to file his arbitration claim. There is currently one pending customer complaint filed against Steven Skipper’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Steven Skipper   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges misrepresentation connection with the offer and sale of a real estate security. Claimants allege that they wanted to purchase safe investments, but instead were recommended, illiquid, alternative investments involving real estate securities and business development companies. Steven Skipper Red Flags & Your Rights As An Investor Of course, Steven Skipper did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Skipper at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Skipper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Steven Skipper also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC If you have questions about LPL Financial LLC and/or Steven Skipper and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Nicholas Travascio of LPL Financial LLC

DID NICHOLAS JOSEPH TRAVASCIO III CAUSE YOU INVESTMENT LOSSES? Nicholas Joseph Travascio III formerly with LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Nicholas J. Travascio III formerly with LPL Financial LLC? Nicholas Travascio (CRD #2581756) who was formerly registered with LPL Financial LLC and located in Hurst, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Nicholas Travascio was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Nicholas Travascio has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Two of Nicholas Travascio’s 4 customer complaints were settled in favor of investors. One customer complaint was denied by LPL financial, LLC, and the customer has yet to take any further action. There is currently one pending customer complaint filed against Nicholas Travascio’s former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Nicholas Travascio   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Registered representative allegedly recommended an unsuitable REIT investment. Customer allege that the financial advisor made recommendations to purchase alternative investments in the real estate industry. Customer allege that the financial advisor misrepresented a REIT investment. Claimants alleged that their financial professional recommended that they invest in several REIT which were unsuitable and in light of their investment objectives and financial condition. Further, claimants alleged that account was overly concentrated in not appropriately diversify. Nicholas Travascio Red Flags & Your Rights As An Investor Of course, Nicholas Travascio did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Nicholas Travascio at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Travascio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Nicholas Travascio also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC If you have questions about LPL Financial LLC and/or Nicholas Travascio and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Robert Turley of Independent Financial Group, LLC

DID ROBERT WESLEY TURLEY CAUSE YOU INVESTMENT LOSSES? Robert Wesley Turley with Independent Financial Group, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Wesley Turley with Independent Financial Group, LLC? Robert Turley (CRD #1519293) who is currently registered with Independent Financial Group, LLC and located in New Port Richey, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Robert Turley was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Independent Financial Group, LLC Broker Misconduct In his career, Robert Turley has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of his complaints was denied by his current employer and, to date, the customer is not taking any further action. There is currently 1 pending customer complaint filed against Robert Turley’s current employer Independent Financial Group, LLC for investment losses caused by his alleged misconduct. Allegations Against Robert Turley   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges that the registered representative misrepresented the premiums charged for a rider purchased on insurance coverage. Claimant’s alleged that financial advisor recommended high risk and unsuitable REIT investments. Robert Turley Red Flags & Your Rights As An Investor Of course, Robert Turley did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Turley at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Turley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Independent Financial Group, LLC If you have questions about Independent Financial Group, LLC and/or Robert Turley and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Robert Wolfe of Goldman Sachs & Co. LLC

DID ROBERT BRIAN WOLFE CAUSE YOU INVESTMENT LOSSES? Robert Brian Wolfe Of Goldman Sachs & Co. LLC And Formerly Cetera Advisor Networks, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Robert B. Wolfe with Goldman Sachs & Co. LLC? Robert Wolfe (CRD #2268259) who is currently registered with Goldman Sachs & Co. LLC and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Goldman Sachs & Co. LLC, Robert Wolfe was associated with Mercer Allied Company, L.P., Cetera Advisor Networks LLC, and Girard Securities, Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisor Networks, LLC Broker Misconduct In his career, Robert Wolfe has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of his customer complaints was recently denied by his former employer, and to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Robert Wolfe’s current employer Cetera Advisor Networks, LLC for investment losses caused by his alleged misconduct. Allegations Against Robert Wolfe A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Complainant alleged that Robert Wolfe made unsuitable investment recommendations related to closed-end funds. Claimants allege a registered representative recommended unsuitable alternative investments in annuities, failed to perform due diligence, breach of his fiduciary duty, breach his contract in connection with real estate private placements. Claimants allege that Robert Wolfe made unsuitable investment recommendations and failed to disclose all the risk associated with real estate private placement investments. Robert Wolfe Red Flags & Your Rights As An Investor Of course, Robert Wolfe did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Wolfe at Goldman Sachs & Co. LLC, Mercer Allied Company, L.P., Cetera Advisor Networks LLC, and Girard Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Wolfe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC, also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Goldman Sachs & Co. LLC and Cetera Advisors, Networks, LLC If you have questions about Goldman Sachs & Co. LLC, Mercer Allied Company, L.P., Cetera Advisor Networks LLC, Girard Securities, Inc. and/or Robert Wolfe and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Joanne Christianson of Capital Financial Services, Inc

DID JOANNE MARIE CHRISTIANSON CAUSE YOU INVESTMENT LOSSES? Joanne Marie Christianson formerly with Capital Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Joanne M. Christianson formerly with Capital Financial Services, Inc.? Joanne Christianson (CRD #5341634) who was formerly registered with Capital Financial Services, Inc. and located in Minot, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Capital Financial Services, Inc. is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Capital Financial Services, Inc. Broker Misconduct In her career, Joanne Christianson has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. The two customer complaints filed against Joanne Christianson’s former employer Capital Financial Services, Inc. for investment losses caused by her alleged misconduct are still pending. Allegations Against Joanne Christianson The allegations made in the FINRA reported arbitration complaints for investment losses are or for alleged violations of the federal securities laws, breach of fiduciary duty, and breach of contract related to investments in mutual funds and direct investments in the oil and gas sector. Joanne Christianson Red Flags & Your Rights as An Investor Of course, Joanne Christianson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Joanne Christianson at Capital Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joanne Christiansonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Financial Services, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Capital Financial Services, Inc. If you have questions about Capital Financial Services, Inc. and/or Joanne Christianson and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Joseph Chu of RBC Capital Markets, LLC

DID JOSEPH IJONG CHU CAUSE YOU INVESTMENT LOSSES? Joseph Ijong Chu With RBC Capital Markets, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Joseph I. Chu with RBC Capital Markets, LLC? Joseph Chu (CRD #4546805) who is currently registered with RBC Capital Markets, LLC and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Joseph Chu was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporatedanother investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Joseph Chu has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of those complaints was denied by his former employer today, the customer is not taking any further action.  There are currently 3 pending customer complaints filed against Joseph Chu’s current employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Chu   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that the financial advisor made unsuitable mutual fund investment recommendations. The claimant alleged he suffered losses due to the financial advisor’s failure to properly diversify his pension plan account and over-concentrated his portfolio in the oil and gas energy sector. The claimant contends the financial advisor recommended unsuitable investments in the production, industrial metals, and materials stocks and over-concentrated his portfolio in those sectors. The customer alleged that the financial advisor made unsuitable investment recommendations and misrepresentations in connection with the investments in the oil and gas sector. Joseph Chu Red Flags & Your Rights As An Investor Of course, Joseph Chu did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Chuat RBC Capital Markets, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Joseph Chu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At RBC Capital Markets, LLC If you have questions about RBC Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Joseph Chu and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Mark Just of Triad Advisors, LLC

DID MARK WILLIAM JUST CAUSE YOU INVESTMENT LOSSES? Mark William Just with Triad Advisors, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Mark W. Just with Triad Advisors, LLC? Mark Just (CRD #1138738) who is currently registered with Triad Advisors LLC, and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Triad Advisors LLC, Mark Just has associated with4other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Triad Advisors, LLC Broker Misconduct In his career, Mark Just has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Three of those customer complaints were denied by his current employer, and to date, no action has been taken by any of the customers. There are currently 3 pending customer complaints filed against Mark Just’s current employer Triad Advisors LLC, for investment losses caused by his alleged misconduct. Allegations Against Mark Just A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that the recapture charge associated with the bonus feature of 4 annuities he purchased was not disclosed by the financial advisor. The client complained about the surrender fees of an annuity. The customer claimed he was not made aware of the surrender charges incurred upon the switch of investments, recommended by the financial advisor. The claimant alleges unsuitable alternative investments in the real estate sector. Claimants allege that variable annuities and real estate securities recommended or unsuitable. The customer alleged financial advisor made unsuitable investment recommendations to purchase variable annuities, corporate debt, common stocks, and mutual funds. Mark Just Red Flags & Your Rights as An Investor Of course, Mark Just did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Justat Triad Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Just has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Triad Advisors, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Triad Advisors LLC If you have questions about Triad Advisors, LLC and/or Mark Just and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 20, 2022

Jimmy Makris of Calton & Associates, Inc

DID JIMMY MAKRIS CAUSE YOU INVESTMENT LOSSES? Jimmy Makris formerly with Calton & Associates, Inc. Has 9 Customer Complaints for Alleged Broker Misconduct Who is Jimmy Makris formerly with Calton & Associates, Inc.? Jimmy Makris (CRD #1754955) who was formerly registered with Calton & Associates, Inc. and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Calton & Associates, Inc., Jimmy Makris was associated with 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Calton & Associates, Inc. Broker Misconduct In his career, Jimmy Makris has been the subject of 9 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. Four of Jimmy Makris’ 9 customer complaints were settled in favor of investors. Three of the customer complaints were denied by his former employer’s it today, the investors had not taken any further action. There are currently 2 pending customer complaints filed against Jimmy Makris’ former employer Calton & Associates, Inc. for investment losses caused by his alleged misconduct. Allegations Against Jimmy Makris   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations, breach of contract, common law fraud, and breach of fiduciary duty related to variable annuity investments. The claimant alleged misrepresentations, unauthorized trading, and unsuitable recommendations of unit investment trusts, real estate securities, and corporate debt transactions. The client alleged breach of fiduciary duty, misrepresentation, and unsuitable investment recommendations related to variable annuities. The client alleged that she purchased a variable annuity from a representative when he was not authorized to sell the securities in the state where she lived.  She also alleged that the financial advisor failed to disclose the surrender charges. The claimant alleged unsuitable recommendations of the private placement and limited partnership interests. The customer alleged negligence in connection with variable annuities and mutual fund investments Jimmy Makris Red Flags & Your Rights as An Investor Of course, Jimmy Makris did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Jimmy Makris at Calton & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jimmy Makrishas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Calton & Associates, Inc. If you have questions about Calton & Associates, Inc. and/or Jimmy Makrisand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading