Feb 17, 2022

Anthony Smith of Calton & Associates, Inc.

DID ANTHONY CHARLES SMITH CAUSE YOU INVESTMENT LOSSES? Anthony Smith Of Calton & Associates, Inc. And Formerly With Newport Coast Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Anthony Smith of Calton & Associates, Inc.? Anthony Smith (CRD #2471757) who is currently registered with Calton & Associates, Inc. and located in Ocala, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Calton & Associates, Inc., Anthony Smith was associated with Newport Coast Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Smith Customer Complaints Anthony Smith 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. Both of Anthony Smith’s 2 customer complaints were settled in favor of investors. Allegations Against Anthony Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment strategy involving real estate securities. Misrepresentation, breach of fiduciary duty, and an unsuitable investment recommendation of a real estate securities. Anthony Smith Red Flags & Your Rights As An Investor Of course, Anthony Smith 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 Anthony Smith at Calton & Associates, Inc. and Newport Coast Securities, Inc.  on alert to review carefully the activity and performance of their accounts and question whether Anthony Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates, Inc. and Newport Coast Securities, Inc. also raises questions about the brokerage firms’ 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. Due To Anthony Smith If you have questions about Calton & Associates, Inc., Newport Coast Securities, Inc. and/or Anthony Smith 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.

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Jan 20, 2022

Richard Fredette formerly with Cantella & Co.

DID RICHARD NOEL FREDETTE CAUSE YOU INVESTMENT LOSSES? Richard Fredette Formerly With Cantella & Co., Calton & Associates, and IMS Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Richard Fredette formerly with Cantella & Co.? Richard Fredette (CRD #1283377) who was formerly registered with Cantella & Co.and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Richard Fredette was associated with Calton & Associates, IMS Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Fredette Customer Complaints Richard Fredette has been the subject of 4 customer complaints that we know about. Two of Richard Fredette’s 4 customer complaints were settled in favor of investors. One of Richard Fredette’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against IMS Securities and Calton & Associates for investment losses caused by Richard Fredette’s alleged misconduct. Allegations Against Richard Fredette A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations were allegedly made by Richard Fredette. Richard Fredette’s allegedly gave fraudulent investment advice and breached his fiduciary duty when making unsuitable investment recommendations. Richard Fredette Red Flags & Your Rights As An Investor Of course, Richard Fredette 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 Richard Fredette at Cantella & Co., Calton & Associates and IMS Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Fredette has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Calton & Associates and IMS Securities also raises questions about the brokerage firms’ 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 Cantella & Co., Calton & Associates and IMS Securities Due To Richard Fredette If you have questions about Cantella & Co., Calton & Associates, IMS Securities, and/or Richard Fredette 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.

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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.

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