Category: Calton & Associates

Did You Lose Money Because of Daryl Calton?

Filed: March 21, 2024

Daryl Calton currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Daryl Ray Calton.

Who Is Daryl Ray Calton?

• Advisor Name: Daryl Ray Calton
• Aliases: Daryl Calton
• CRD: 1002304
• Location: Mesa, Arizona
• Current Employer: Currently Not Registered
• Previous Firms: Calton & Associates, Inc., First Affiliated Securities, Inc., and Ambac Securities, Inc.
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 1
• Can Daryl Calton Be Sued: Yes, in Private Arbitration
• Can Daryl Calton’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $236,200
• Highest Settlement: $14,999

If you have suffered investment losses by Daryl Calton, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Daryl Calton For Broker Misconduct

As of this publication date, Daryl Calton has been the subject of 3 customer disputes and 1 regulatory event. Let’s review them below.

In August 2023, a complaint was filed against or in reference to Daryl Calton by a customer of Calton & Associates, Inc. alleging that Mr. Calton made unsuitable recommendations to her and her late husband. Per the customer, she lost over $236,200 because of Mr. Calton’s actions. As of this publication date, this claim remains pending.

In September 2012, a FINRA arbitration was filed against or in reference to Daryl Calton by a customer of Calton & Associates, Inc. alleging breach of fiduciary duties, fraud, negligence, and violation of AZ securities law. Per the customer, he/she lost over $105,320 because of Mr. Calton’s actions. On October 4, 2012, Mr. Calton settled the claim for $14,999, and some or all of this amount may have been paid by Mr. Calton’s employer and/or insurance carrier.

In December 2003, a complaint was filed against or in reference to Daryl Calton by a customer of Calton & Associates, Inc. alleging suitability. Per the customer, he/she lost over $46,100 because of Mr. Calton’s actions.

In May 1991, Arizona Corporation Commission, Securities Division initiated a regulatory action against or in reference to Daryl Calton for violations of Arizona Securities Statutes in the offering and selling of securities within or from Arizona. He failed to timely update his U4 form, and not of good business reputation or not qualified by training or experience.

How To File A Claim Against Daryl Calton (previously with Calton & Associates, Inc., First Affiliated Securities, Inc., and Ambac Securities, Inc.) To Get Your Money Back

If you have questions about Daryl Calton, Calton & Associates, Inc., First Affiliated Securities, Inc., Ambac Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of John Drabek?

Filed: February 19, 2024

John Drabek currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on John Raymond Drabek.

Who Is John Raymond Drabek of Calton & Associates, Inc.?

• Advisor Name: John Raymond Drabek
• Aliases: John Drabek
• CRD: 1335813
• Location: Tampa, Florida and East Lyme, Connecticut
• Current Employer: Calton & Associates, Inc.
• Previous Firms: Valic Financial Advisors, Inc.
• Number of Known Customer Complaints: 2
• Can John Drabek Be Sued: Yes, in Private Arbitration
• Can John Drabek’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $200,000
• Highest Settlement: $24,000

If you have suffered investment losses by John Drabek, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against John Drabek For Broker Misconduct

As of this publication date, John Drabek has been the subject of 2 customer disputes. Let’s review them below.

In July 2023, a FINRA arbitration was filed against or in reference to John Drabek by a customer of Calton & Associates, Inc. alleging that on 3/15/2016 and on 12/1/2016, Mr. Drabek made unsuitable recommendations to the client and her husband to invest in Griffin Realty Trust and CIM Real Estate Finance Trust respectively. Per the customer, she lost over $200,000 because of Mr. Drabek’s actions. As of this publication date, this claim remains pending.

In August 2012, a FINRA arbitration was filed against or in reference to John Drabek by a customer of Calton & Associates, Inc. alleging unsuitability, failure to supervise, negligence, misrepresentation, and breach of contract. Per the customer, he/she lost over $128,500 because of Mr. Drabek’s actions. On July 18, 2013, Mr. Drabek settled the claim for $24,000, and some or all of this amount may have been paid by Mr. Drabek’s employer and/or insurance carrier.

How To File A Claim Against John Drabek of Calton & Associates, Inc. (previously with Valic Financial Advisors, Inc.) To Get Your Money Back

If you have questions about John Drabek, Calton & Associates, Inc., Valic Financial Advisors, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Shawn Spellacy?

Filed: January 16, 2024

Shawn Spellacy currently has one (1) pending customer complaint and five (5) pending Judgment/Lien events. Overall, he has been the subject of five (5) judgment/lien events and three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Shawn Conan Spellacy.

Who Is Shawn Conan Spellacy of Calton & Associates, Inc.?

• Advisor Name: Shawn Conan Spellacy
• Aliases: Shawn C Spellacy
• CRD: 2275119
• Location: Fair Oaks, California
• Current Employer: Calton & Associates, Inc.
• Previous Firms: Fortis Investors, Inc. and G. R. Phelps & Co., Inc.
• Number of Known Customer Complaints: 3
• Number of Known Judgment/Lien Events: 5
• Can Shawn Spellacy Be Sued: Yes, in Private Arbitration
• Can Shawn Spellacy’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $719,415
• Highest Settlement: $99,999

If you have suffered investment losses by Shawn Spellacy, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Shawn Spellacy For Broker Misconduct

As of this publication date, Shawn Spellacy has been the subject of 3 customer disputes and 5 Judgment/lien events. Let’s review them below.

In June 2023, a complaint was filed against or in reference to Shawn Spellacy by a customer of Calton & Associates alleging that from 2018 and on, Mr. Shawn Spellacy made risky and unsuitable investments in the client’s trust account resulting in losses of over $700,000. Per the customer, he lost over $719,415 because of Mr. Spellacy’s actions. As of this publication date, this complaint remains pending.

In August 2012, a FINRA arbitration was filed against or in reference to Shawn Spellacy by a customer of Calton & Associates alleging misrepresentation, omission, violation of California Corp. securities law, breach of fiduciary duty, and violation of NASD conduct rules. Per the customer, he/she lost over $200,000 because of Mr. Spellacy’s actions. On August 14, 2013, Mr. Spellacy settled the claim for $99,999, and some or all of this amount may have been paid by Mr. Spellacy’s employer and/or insurance carrier.

In June 2016, Shawn Spellacy was the subject of a civil judgment or lien in the amount of $58,753.75. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In May 2016, Shawn Spellacy was the subject of a civil judgment or lien in the amount of $47,362.70. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In April 2016, Shawn Spellacy was the subject of a civil judgment or lien in the amount of $1,751.42. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In November 2015, Shawn Spellacy was the subject of a civil judgment or lien in the amount of $431,420.34. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In June 2011, Shawn Spellacy was the subject of a civil judgment or lien in the amount of $20,433. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In January 2009, a complaint was filed against or in reference to Shawn Spellacy by a customer of Calton & Associates alleging misrepresentation, breach of fiduciary duty, and due diligence. Per the customer, he/she lost over $600,000 because of Mr. Spellacy’s actions. On October 20, 2009, Mr. Spellacy settled the claim for $50,010, and some or all of this amount may have been paid by Mr. Spellacy’s employer and/or insurance carrier.

How To File A Claim Against Shawn Spellacy of Calton & Associates, Inc. (previously with Fortis Investors, Inc. and G. R. Phelps & Co., Inc.) To Get Your Money Back.

If you have questions about Shawn Spellacy, Calton & Associates, Fortis Investors, Inc., G. R. Phelps & Co., Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Ronald Wingerter?

Filed: January 16, 2024

Ronald Wingerter has been the subject of one (1) criminal event and two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Ronald Warren Wingerter.

Who Is Ronald Warren Wingerter?

• Advisor Name: Ronald Warren Wingerter
• Aliases: Ronald Wingerter
• CRD: 4184143
• Location: Lady Lake, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Arkadios Capital, Calton & Associates, Inc., and Quasar Distributors, LLC
• Number of Known Customer Complaints: 2
• Number of Known Criminal Events: 1
• Can Ronald Wingerter Be Sued: Yes, in Private Arbitration
• Can Ronald Wingerter’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $750,000
• Highest Settlement: $55,000

If you have suffered investment losses by Ronald Wingerter, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stock market losses lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Ronald Wingerter For Broker Misconduct

As of this publication date, Ronald Wingerter has been the subject of 1 criminal event and 2 customer disputes. Let’s review them below.

In April 2021, a FINRA arbitration was filed against or in reference to Ronald Wingerter by a customer of Arkadios Capital alleging unsuitable products from 2017 to present. Per the customer, he/she lost over $100,000 because of Mr. Wingerter’s actions. On January 20, 2022, Mr. Wingerter settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Wingerter’s employer and/or insurance carrier.

In December 2020, a FINRA arbitration was filed against or in reference to Ronald Wingerter by a customer of Calton & Associates and Arkadios Capital alleging unsuitable products from 2011 to 2020. Per the customer, he/she lost over $750,000 because of Mr. Wingerter’s actions. On July 25, 2022, Mr. Wingerter settled the claim for $55,000, and some or all of this amount may have been paid by Mr. Wingerter’s employer and/or insurance carrier.

In July 1996, misdemeanor charges were pressed against Ronald Wingerter in the Alachua Clerk Court for retail theft (a dispute over a restaurant bill). In October of 1996, the case was dismissed.

How To File A Claim Against Ronald Wingerter (previously with Arkadios Capital, Calton & Associates, Inc., and Quasar Distributors, LLC) To Get Your Money Back.

If you have questions about Ronald Wingerter, Arkadios Capital, Calton & Associates, Inc., Quasar Distributors, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Paul Murphy?

Filed: January 16, 2024

Paul Murphy has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Paul William Murphy.

Who Is Paul William Murphy of Calton & Associates, Inc.?

• Advisor Name: Paul William Murphy
• Aliases: Paul Murphy
• CRD: 5132291
• Location: Ocala, Florida
• Current Employer: Calton & Associates, Inc.
• Previous Firms: Newport Coast Asset Management, Newport Coast Securities, Inc, and J.P. Turner & Company
• Number of Known Customer Complaints: 3
• Can Paul Murphy Be Sued: Yes, in Private Arbitration
• Can Paul Murphy’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $457,173.69
• Highest Settlement: $42,500

If you have suffered investment losses by Paul Murphy, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Paul Murphy For Broker Misconduct

As of this publication date, Paul Murphy has been the subject of 3 customer disputes. Let’s review them below.

In November 2021, a FINRA arbitration was filed against or in reference to Paul Murphy by a customer of Calton & Associates alleging unsuitable investments and breach of fiduciary duty. Per the customer, he/she lost over $132,122.44 because of Mr. Murphy’s actions. On August 2, 2022, Mr. Murphy settled the claim for $42,500, and some or all of this amount may have been paid by Mr. Murphy’s employer and/or insurance carrier.

In November 2021, a FINRA arbitration was filed against or in reference to Paul Murphy by a customer of Calton & Associates alleging unsuitable investments and breach of fiduciary duty. Per the customer, he/she lost over $457,173.69 because of Mr. Murphy’s actions. On March 31, 2023, Mr. Murphy settled the claim for $25,000.

In October 2020, a FINRA arbitration was filed against or in reference to Paul Murphy by a customer of Calton & Associates alleging suitability, misrepresentation, and breach of fiduciary duty. Per the customer, he/she lost over $50,000 because of Mr. Murphy’s actions. On March 23, 2021, Mr. Murphy settled the claim for $12,734, and some or all of this amount may have been paid by Mr. Murphy’s employer and/or insurance carrier.

How To File A Claim Against Paul Murphy of Calton & Associates, Inc. (previously with Newport Coast Asset Management, Newport Coast Securities, Inc, and J.P. Turner & Company) To Get Your Money Back.

If you have questions about Paul Murphy, Calton & Associates, Newport Coast Asset Management, Newport Coast Securities, Inc, J.P. Turner & Company, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Christopher McCoy?

Filed: January 16, 2024

Christopher McCoy has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Christopher Joseph McCoy.

Who Is Christopher Joseph McCoy?

• Advisor Name: Christopher Joseph McCoy
• Aliases: Christopher McCoy
• CRD: 4113108
• Location: Montclair, New Jersey
• Current Employer: Currently Not Registered
• Previous Firms: Calton & Associates, Inc., Financial Network Investment Corporation, and First Republic Group, LLC
• Number of Known Customer Complaints: 2
• Can Christopher McCoy Be Sued: Yes, in Private Arbitration
• Can Christopher McCoy’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $350,000
• Highest Settlement: $54,000

If you have suffered investment losses by Christopher McCoy, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Christopher McCoy For Broker Misconduct

As of this publication date, Christopher McCoy has been the subject of 2 customer disputes. Let’s review them below.

In November 2020, a FINRA arbitration was filed against or in reference to Christopher McCoy by a customer of Calton & Associates alleging unsuitability, breach of fiduciary duty, negligence, and violations of state and securities laws. Per the customer, he/she lost over $350,000 because of Mr. McCoy’s actions. On July 12, 2021, Mr. McCoy settled the claim for $54,000.

In July  2020, a NASD arbitration was filed against or in reference to Christopher McCoy by a customer of Lawson Financial Corporation alleging suitability, breach of duty, and unauthorized discretion. Per the customer, he/she lost over $313,604 because of Mr. McCoy’s actions.

How To File A Claim Against Christopher McCoy (previously with Calton & Associates, Inc., Financial Network Investment Corporation, and First Republic Group, LLC) To Get Your Money Back.

If you have questions about Christopher McCoy, Calton & Associates, Inc., Financial Network Investment Corporation, First Republic Group, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Richard Rodriguez Jr?

Filed: January 16, 2024

Richard A. Rodriguez Jr. currently has one (1) pending customer complaint. Overall, he has been the subject of seven (7) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Richard A Rodriguez Jr.

Who Is Richard A Rodriguez Jr?

• Advisor Name: Richard A Rodriguez Jr
• Aliases: Richard Anthony Rodriguez Jr, Richard Anthony Rodriguez
• CRD: 2973254
• Location: Fruitland Park, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Calton & Associates, Concorde Investment Services, LLC, and World Equity Group, Inc.
• Number of Known Customer Complaints: 7
• Can Richard Rodriguez Jr. be Sued: Yes, in Private Arbitration
• Can Richard Rodriguez Jr’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $500,000
• Highest Settlement: $45,000

If you have suffered investment losses by Richard Rodriguez Jr, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Richard Rodriguez Jr. For Broker Misconduct

As of this publication date, Richard Rodriguez Jr has been the subject of 7 customer disputes. Let’s review them below.

In March 2023, a FINRA arbitration was filed against or in reference to Richard Rodriguez Jr by a customer of Concorde Investment Services, LLC alleging breach of fiduciary duty, violation of FINRA and NASD rules, breach of contract, and negligence relating to investment made in July of 2016. Per the customer, he/she lost over $40,000 because of Mr. Rodriguez’s actions. As of this publication date, this complaint remains pending.

In March 2021, a FINRA arbitration was filed against or in reference to Richard Rodriguez Jr by a customer of Concorde Investment Services, LLC alleging breach of fiduciary duty, violations of Florida Securities and Investor Protection Act, common law fraud, breach of contract, negligence, negligent misrepresentation or omission relating to various non-traded REITs and DPPs purchased in November of 2017. Per the customer, he/she lost over $500,000 because of Mr. Rodriguez’s actions. On September 13, 2020, Mr. Rodriguez settled the claim for $30,000, and some or all of this amount may have been paid by Mr. Rodriguez’s employer and/or insurance carrier.

In January 2021, a FINRA arbitration was filed against or in reference to Richard Rodriguez Jr by a customer of Concorde Investment Services, LLC alleging violations of federal securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence relating to various investments made in October of 2016. Per the customer, he/she lost over $200,000 because of Mr. Rodriguez’s actions. On January 4, 2022, Mr. Rodriguez settled the claim for $45,000, and some or all of this amount may have been paid by Mr. Rodriguez’s employer and/or insurance carrier.

In September 2019, a FINRA arbitration was filed against or in reference to Richard Rodriguez Jr by a customer of Concorde Investment Services, LLC alleging breach of fiduciary duty and negligence for investments made in 2017. Per the customer, he/she lost over $150,000 because of Mr. Rodriguez’s actions. On March 1, 2021, Mr. Rodriguez settled the claim for $55,000, and some or all of this amount may have been paid by Mr. Rodriguez’s employer and/or insurance carrier.

In May 2017, a complaint was filed against or in reference to Richard Rodriguez Jr by multiple customers of Concorde Investment Services, LLC alleging that clients were not told about the liquidity features and risk of non-traded REIT purchases made in 2016. Per the customers, they lost over $200,000 because of Mr. Rodriguez’s actions.

In February 2008, a complaint was filed against or in reference to Richard Rodriguez Jr by a customer of Charles Schwab & Co., Inc. alleging unsuitable mutual fund recommendation. Per the customer, he/she lost over $18,000 because of Mr. Rodriguez’s actions. On November 19, 2009, Mr. Rodriguez settled the claim for $5,000, and some or all of this amount may have been paid by Mr. Rodriguez’s employer and/or insurance carrier.

In November 2007, a complaint was filed against or in reference to Richard Rodriguez Jr by a customer of Charles Schwab & Co., Inc. alleging unsuitable mutual fund recommendation. Per the customer, he/she lost over $125,000 because of Mr. Rodriguez’s actions. On December 13, 2007, Mr. Rodriguez settled the claim for $13,886.92, and some or all of this amount may have been paid by Mr. Rodriguez’s employer and/or insurance carrier.

How To File A Claim Against Richard Rodriguez Jr (previously with Calton & Associates, Concorde Investment Services, LLC, and World Equity Group, Inc.) To Get Your Money Back.

If you have questions about Richard Rodriguez Jr, Calton & Associates, Concorde Investment Services, LLC, World Equity Group, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Kenneth Harter?

Filed: January 16, 2024

Kenneth Harter has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Kenneth Richard Harter.

Who Is Kenneth Richard Harter of Calton & Associates, Inc.?

• Advisor Name: Kenneth Richard Harter
• Aliases: Kenneth Harter
• CRD: 1448027
• Location: Little Rock, Arkansas
• Current Employer: Calton & Associates, Inc.
• Previous Firms: First American Securities, Inc., and Swink & Company, Inc.
• Number of Known Customer Complaints: 2
• Can Kenneth Harter Be Sued: Yes, in Private Arbitration
• Can Kenneth Harter’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $150,000
• Highest Settlement: $50,000

If you have suffered investment losses by Kenneth Harter, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Kenneth Harter For Broker Misconduct

As of this publication date, Kenneth Harter has been the subject of 2 customer disputes. Let’s review them below.

In September 2019, a FINRA arbitration was filed against or in reference to Kenneth Harter by a customer of Calton & Associates alleging suitability, and fraudulent statement on liquidity of investments. On September 21, 2021, Mr. Harter settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Harter’s employer and/or insurance carrier.

In August 1998, a complaint was filed against or in reference to Kenneth Harter alleging misrepresentation and omission of material facts, negligence and breach of fiduciary duty. Per the customers, they lost over $150,000 because of Mr. Harter’s actions. On August 20, 1998, Mr. Harter settled the claim for $20,000.

How To File A Claim Against Kenneth Harter of Calton & Associates, Inc. (previously with First American Securities, Inc., and Swink & Company, Inc.) To Get Your Money Back.

If you have questions about Kenneth Harter, Calton & Associates, First American Securities, Inc., Swink & Company, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Patrick Albrecht?

Filed: January 16, 2024

Patrick Albrecht has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Patrick William Albrecht.

Who Is Patrick William Albrecht of Calton & Associates, Inc.?

• Advisor Name: Patrick William Albrecht
• Aliases: Patrick Albrecht
• CRD: 1437137
• Location: Prescott, Arizona
• Current Employer: Calton & Associates, Inc.
• Previous Firms: Lawson Financial Corporation
• Number of Known Customer Complaints: 3
• Can Patrick Albrecht Be Sued: Yes, in Private Arbitration
• Can Patrick Albrecht’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $160,000
• Highest Settlement: $35,000

If you have suffered investment losses by Patrick Albrecht, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Patrick Albrecht For Broker Misconduct

As of this publication date, Patrick Albrecht has been the subject of 3 customer disputes. Let’s review them below.

In April 2020, a FINRA arbitration was filed against or in reference to Patrick Albrecht by a customer of Calton & Associates alleging failure to conduct adequate due diligence, negligence, misrepresentation, and breach of fiduciary duty. On April 30, 2020, Mr. Albrecht settled the claim for $35,000, and some or all of this amount may have been paid by Mr. Albrecht’s employer and/or insurance carrier.

In April 2006, a complaint was filed against or in reference to Patrick Albrecht by a customer of Lawson Financial Corporation alleging that icon LP7 is not making distributions. Per the customer, he/she lost over $10,000 because of Mr. Albrecht’s actions.

In November 2004, a NASD arbitration was filed against or in reference to Patrick Albrecht by a customer of Lawson Financial Corporation alleging suitability, breach of fiduciary duties, and negligent supervision. Additionally, the claimant was unhappy with the untimely liquidation of assets. Per the customer, he/she lost over $160,000 because of Mr. Albrecht’s actions. On April 3, 2006, Mr. Albrecht settled the claim for $35,000, and some or all of this amount may have been paid by Mr. Albrecht’s employer and/or insurance carrier.

How To File A Claim Against Patrick Albrecht of Calton & Associates, Inc. (previously with Lawson Financial Corporation) To Get Your Money Back.

If you have questions about Patrick Albrecht, Calton & Associates, Lawson Financial Corporation, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Marc Seeherman?

Filed: January 16, 2024

Marc Seeherman has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Marc Alan Seeherman.

Who Is Marc Alan Seeherman of Calton & Associates, Inc.?

• Advisor Name: Marc Alan Seeherman
• Aliases: Marc Seeherman
• CRD: 1131557
• Location: New York, New York State
• Current Employer: Calton & Associates, Inc.
• Previous Firms: VSR Financial Services, Inc., Alliance Affiliated Equities Corporation, Princeton Equity Securities, Inc.
• Number of Known Customer Complaints: 3
• Can Marc Seeherman Be Sued: Yes, in Private Arbitration
• Can Marc Seeherman’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $499,000
• Highest Settlement: $85,000

If you have suffered investment losses by Marc Seeherman, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stock market losses lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Marc Seeherman For Broker Misconduct

As of this publication date, Marc Seeherman has been the subject of 3 customer disputes. Let’s review them below.

In March 2021, a FINRA arbitration was filed against or in reference to Marc Seeherman by a customer of Calton & Associates alleging misrepresentation, omissions and unsuitable recommendations. Per the customer, he/she lost over $50,000 because of Mr. Seeherman’s actions. On March 22, 2021, Mr. Seeherman settled the claim for $14,750, and some or all of this amount may have been paid by Mr. Seeherman’s employer and/or insurance carrier.

In March 2021, a FINRA arbitration was filed against or in reference to Marc Seeherman by a customer of VSR Financial Services, Inc. and Calton & Associates alleging unsuitable investments. Per the customer, he/she lost over $499,000 because of Mr. Seeherman’s actions. On May 3, 2022, Mr. Seeherman settled the claim for $85,000, and some or all of this amount may have been paid by Mr. Seeherman’s employer and/or insurance carrier.

In February 2020, a FINRA arbitration was filed against or in reference to Marc Seeherman by a customer of Calton & Associates alleging negligence, misrepresentation, omission, and breach of fiduciary duty. Per the customer, he/she lost over $50,000 because of Mr. Seeherman’s actions. On April 2, 2020, Mr. Seeherman settled the claim for $24,000, and some or all of this amount may have been paid by Mr. Seeherman’s employer and/or insurance carrier.

How To File A Claim Against Marc Seeherman of Calton & Associates, Inc. (previously with VSR Financial Services, Inc., Alliance Affiliated Equities Corporation, and Princeton Equity Securities, Inc.) To Get Your Money Back.

If you have questions about Marc Seeherman, Calton & Associates, VSR Financial Services, Inc., Alliance Affiliated Equities Corporation, Princeton Equity Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.