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

Jan 20, 2022

Kevin Barbalace of Corinthian Partners, LLC

DID KEVIN LAWRENCE BARBALACE CAUSE YOU INVESTMENT LOSSES? Kevin Lawrence Barbalace formerly with Corinthian Partners, LLC And Dawson, James Securities, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Kevin L. Barbalace formerly with Corinthian Partners, LLC and Dawson, James Securities, Inc.? Kevin Barbalace (CRD #4456476) who was formerly registered with Corinthian Partners, LLC and located in Middletown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Corinthian Partners, LLC, Kevin Barbalace was associated with Dawson James Securities, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Barbalace has had his share of regulatory problems as well. In November 2016, he entered into an Acceptance, Waiver and Consent agreement with FINRA, without admitting or denying the allegations, but where FINRA made findings that he made unsuitable investment recommendations to a customer and exposed the customer to a risk of loss that was inconsistent with the customer’s financial needs and situation. The transactions resulted in an excessive concentration of low-price stocks in the customer’s accounts. FINRA also claimed that he accepted a check from a customer for an undisclosed outside business activity. Kevin Barbalace was then suspended for 3 months and fined. Prior to the FINRA suspension, the Maryland Division of Securities investigated and reach an agreement with Kevin Barbalace whereby he consented to 2 years of heightened supervision in a civil monetary penalty. Dawson James Securities, Inc. Broker Misconduct In his career, Kevin Barbalace has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last 2 years to recover investment losses. There are currently 2 pending customer complaints filed against Kevin Barbalace’s former employer Corinthian Partners, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Barbalace   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations and misrepresentations related to certain private placement investments. The customer alleged that Kevin Barbalace made misrepresentations in connection with her investment in a promissory note. Claimant alleged that Kevin Barbalace made unsuitable investment recommendations and misrepresentations in connection with direct investments in limited partnership interests. Claimants allege that Mr. Barbara lay’s misrepresented the risk associated with a private placement, investment he recommended. Kevin Barbalace Red Flags & Your Rights As An Investor Of course, Kevin Barbalace 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 Kevin Barbalace at Corinthian Partners, LLC and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Barbalace has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, Inc. 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 Corinthian Partners, LLC If you have questions about Corinthian Partners, LLC, Dawson James Securities, Inc. and/or Kevin Barbalace 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

William Baum of Great American Investors, Inc.

DID WILLIAM BRYSON BAUM CAUSE YOU INVESTMENT LOSSES? William Bryson Baum with Great American Investors, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is William B. Baum with Great American Investors, Inc.? William Baum (CRD #1528847) who is currently registered with Great American Investors, Inc. and located in Overland Park, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Great American Investors, Inc., William Baum was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Baum’s employers were not the only ones with regulatory problems. In August 2017, he was suspended for 30 days for circumventing the firm’s supervisory practices relating to communications with clients. He used an Apple iPhone which did not have the technological ability to capture and relay texts for compliance purposes. Great American Investors, Inc. Broker Misconduct In his career, William Baum has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. William Baum was a respondent in an arbitration proceeding where an arbitration award was entered in favor of the investor for unauthorized trading in breach of fiduciary duty. Six of William Baum’s 8 customer complaints were settled in favor of investors.   Allegations Against William Baum A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that William Baum failed to make suitable investment recommendations, failed to disclose all conflicts of interest, and failed to inform them of all the associated risk with the investment recommendations he made to them. Claimants alleged that William Baum recommended unsuitable trading strategies failed to act in their best interest. Claimants alleged that William Baum mismanaged their accounts by over-concentrating the holdings in certain stocks and engaging in excessive trading activity. Customer alleges that William Baum failed to act in their best interests in managing their accounts. Customer alleged William Baum made unsuitable investment recommendations and misrepresentation of the risks related to certain investments. William Baum Red Flags & Your Rights As An Investor Of course, William Baum 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 William Baum at Great American Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Baum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Great American Investors, Inc. about William Baum 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 Great American Investors, Inc. If you have questions about Great American Investors, Inc. and/or William Baum 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

Christopher Bowman of Aeon Capital Inc.

DID CHRISTOPHER JOHN BOWMAN CAUSE YOU INVESTMENT LOSSES? Christopher John Bowman formerly with Aeon Capital Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher J. Bowman formerly with Aeon Capital Inc.? Christopher Bowman (CRD #2187173) who was formerly registered with Aeon Capital Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aeon Capital Inc., Christopher Bowman was associated with Accelerated Capital Group and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aeon Capital Inc. Broker Misconduct In his career, Christopher Bowman has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Christopher Bowman’s former employers Accelerated Capital Group, Inc. and Meridian Capital for investment losses caused by his alleged misconduct. Allegations Against Christopher Bowman   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege breach of fiduciary duty, negligence, and breach of contract in connection with several private placement investments sold to the claimants by Christopher Bowman. Customers alleged misconduct in connection with several alternative investments purchased through Christopher Bowman and his former employers. Christopher Bowman Red Flags & Your Rights As An Investor Of course, Christopher Bowman 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 Christopher Bowman at Aeon Capital Inc. and Accelerated Capital Group on alert to review carefully the activity and performance of their accounts and question whether Christopher Bowman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aeon Capital Inc. and Accelerated Capital Group 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 Aeon Capital Inc. If you have questions about Aeon Capital Inc., Accelerated Capital Group and/or Christopher Bowman 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

Denis Drummey of Ameriprise Financial Services, Inc.

DID DENIS MICHAEL DRUMMEY CAUSE YOU INVESTMENT LOSSES? Denis Michael Drummey formerly with Ameriprise Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Denis M. Drummey formerly with Ameriprise Financial Services, Inc.? Denis Drummey (CRD #4910232) who was formerly registered with Ameriprise Financial Services, Inc. and located in Hingham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Inc., Denis Drummey was associated with LPL Financial LLC and 2 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, Denis Drummey has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year against LPL Financial, LLC to recover investment losses. One of Denis Drummey’s 2 customer complaints was settled in favor of investors. The other customer complaint was denied by his former employer LPL Financial, LLC and to date, the customer has not taken any further action.  Allegations Against Denis Drummey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Denis Drummey made an unsuitable investment recommendation to purchase an interest in a business development company. Further, that the financial information the financial advisor placed on count paperwork was overstated. Customer alleged that Denis Drummey made misrepresentations in unsuitable investment recommendations connection with the purchase of REITs. Denis Drummey Red Flags & Your Rights As An Investor Of course, Denis Drummey 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 Denis Drummey at Ameriprise Financial Services, Inc. and LPL Financial LLC  on alert to review carefully the activity and performance of their accounts and question whether Denis Drummey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Denis Drummey 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 Ameriprise Financial Services, Inc. If you have questions about Ameriprise Financial Services, Inc., LPL Financial LLC and/or Denis Drummey 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

David Krumrey of Oppenheimer & Co. Inc.

DID DAVID WAYNE KRUMREY CAUSE YOU INVESTMENT LOSSES? David Wayne Krumrey formerly with Oppenheimer & Co. Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David W. Krumrey formerly with Oppenheimer & Co. Inc.? David Krumrey (CRD #4121845) who was formerly registered with Oppenheimer & Co. Inc. and located in The Woodlands, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., David Krumrey was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In August 2017, Oppenheimer & Co. terminated him for allegedly attempting to settle a complaint away from the firm. Thereafter, David Krumrey also had regulatory problems. In January 2018, he was suspended for failure to respond to a FINRA request for information in connection with an investigation. Three months later he was permanently barred from association with any FINRA member firm in any capacity in the future. Oppenheimer & Co. Inc. Broker Misconduct In his career, David Krumrey has been the subject of 6 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One customer complaint was resolved during arbitration with an award in favor of the investor for an amount in excess of $250,000. Four of David Krumrey’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against David Krumrey’s former employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against David Krumrey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: David Krumrey was the subject of a customer complaint against Oppenheimer & Co. that asserted he breached his fiduciary duties, committed negligence, and violated the Louisiana securities laws. Claimant asserted that David Krumrey made unsuitable investment recommendations and breach of his fiduciary duties and violated state securities laws. Claimant alleged negligence, breach of fiduciary duty, and breach of contract related to certain energy related investments. Client alleges that David Krumrey in unauthorized transactions in his account. Claimants allege that David Krumrey breached his fiduciary duty, and committed negligence in connection with the management of their accounts. David Krumrey Red Flags & Your Rights As An Investor Of course, David Krumrey 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 David Krumrey at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether David Krumrey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. about David Krumrey 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc. and/or David Krumrey 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

Trevor Gordon of Sandlapper Securities, LLC

DID TREVOR LEE GORDON CAUSE YOU INVESTMENT LOSSES? Trevor Lee Gordon formerly with Sandlapper Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Trevor L. Gordon formerly with Sandlapper Securities, LLC? Trevor Gordon (CRD #2195122) who was formerly registered with Sandlapper Securities, LLC and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sandlapper Securities, LLC, Trevor Gordon was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Trevor Gordon’s former employers were not the only ones with regulatory problems. In September 2017, FINRA initiated an investigation and filed a complaint against Trevor Gordon and Sandlapper Securities, LLC alleging that they participated in the fraudulent scheme and defrauded investors by selling investments in saltwater disposal wells at excessive undisclosed markups through a corporation they owned and controlled. The disciplinary proceeding resulted in Trevor Gordon being permanently barred from association with any member firm in any capacity in the future. In addition, was ordered to pay restitution in excess of $3.3 million. The FINRA Panel’s decision is currently on appeal. Sandlapper Securities, LLC Broker Misconduct In his career, Trevor Gordon has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Trevor Gordon’s 2 customer complaints was settled in favor of investors. The other customer complaint filed against Trevor Gordon’s former employer Sandlapper Securities, LLC for investment losses caused by his alleged misconduct is still pending. Allegations Against Trevor Gordon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The pending arbitration claim is for Trevor Gordon’s alleged unsuitable investment recommendations, intentional and negligent misrepresentations and omissions, breach of fiduciary duty, violations of the California Securities Act, breach of FINRA rules, breach of contract and negligence. The customer alleged unsuitable investment recommendations and unsuitable investment strategy involving direct investments constituted negligence, fraud, breach of fiduciary duty, and financial elder abuse. Trevor Gordon Red Flags & Your Rights As An Investor Of course, Trevor Gordon 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 Trevor Gordon at Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Trevor Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper Securities, LLC about Trevor Gordon 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 Sandlapper Securities, LLC   If you have questions about Sandlapper Securities, LLC and/or Trevor Gordon 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

David Mirolli of Kalos Capital, Inc.

DID DAVID SCOTT MIROLLI CAUSE YOU INVESTMENT LOSSES? David Scott Mirolli Of Kalos Capital, Inc. And Formerly Triad Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David S. Mirolli with Kalos Capital, Inc.? David Mirolli (CRD #5116067) who is currently registered with Kalos Capital, Inc. and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., David Mirolli was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kalos Capital, Inc. and Triad Advisors, LLC Broker Misconduct In his career, David Mirolli 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 David Mirolli’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Mirolli’s current employer Kalos Capital, Inc. and former employer, Triad Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against David Mirolli A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that David Mirolli failed to conduct reasonable due diligence and recommended investment strategy that was speculative and involved unsuitable securities recommendations in GPB Capital Holdings private placements. Multiple customers alleged in a single arbitration complaint that David Mirolli engage in unsuitable investment recommendations and unsuitable strategy of investing in alternative investments sponsored by GPB Capital Holdings, LLC. Claimant alleged failure to conduct reasonable due diligence of an offering by GPB Capital Holdings prior to recommending that the client invest in its sponsored private placement investments. David Mirolli Red Flags & Your Rights As An Investor Of course, David Mirolli 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 David Mirolli at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Mirolli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. and Triad Advisors, LLC also raises questions about their 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or David Mirolli 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