Category: Calton & Associates

Did You Lose Money Because of Bart Bohrer?

Filed: January 16, 2024

Bart James Bohrer has been the subject of five (5) 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 Bart James Bohrer.

Who Is Bart James Bohrer of Calton & Associates, Inc.?

• Advisor Name: Bart James Bohrer
• Aliases: Bart Bohrer
• CRD: 4315654
• Location: Tampa, Florida and Minot, North Dakota
• Current Employer: Calton & Associates, Inc.
• Previous Firms: Capital Financial Services, Inc.
• Number of Known Customer Complaints: 5
• Can Bart Bohrer Be Sued: Yes, in Private Arbitration
• Can Bart Bohrer’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $489,681.94
• Highest Settlement: $578,845.85

If you have suffered investment losses by Bart Bohrer, 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 Bart Bohrer For Broker Misconduct

As of this publication date, Bart Bohrer has been the subject of 5 customer disputes. Let’s review them below.

In July 2020, a FINRA arbitration was filed against or in reference to Bart Bohrer by a customer of Capital Financial Services, Inc. alleging breach of fiduciary duties, violations of Georgia Uniform Securities Act, breach of contract, and negligence. Per the customer, he/she lost over $489,681.94 because of Mr. Bohrer’s actions. An arbitration panel found that Bohrer was negligent and awarded $578,845.85 in favor of the customers.

In March 2020, a FINRA arbitration was filed against or in reference to Bart Bohrer by a customer of Calton & Associates alleging breach of fiduciary duty, misrepresentation, and violation of Indiana State securities laws. Per the customer, he/she lost over $400,000 because of Mr. Bohrer’s actions. On March 1, 2021, Mr. Bohrer settled the claim for $6,666.67.

In January 2020, a FINRA arbitration was filed against or in reference to Bart Bohrer by a customer of Capital Financial Services, Inc. alleging breach of fiduciary duty, violations of federal, and state securities laws, and negligent supervision or hiring. Per the customer, he/she lost over $200,000 because of Mr. Bohrer’s actions. On September 29, 2020, Mr. Bohrer settled the claim for $5,417.

In October 2019, a FINRA arbitration was filed against or in reference to Bart Bohrer by a customer of Capital Financial Services, Inc. alleging violations of federal securities laws, breach of contract, and breach of fiduciary duty. Per the customer, he/she lost over $5,000 because of Mr. Bohrer’s actions. On October 7, 2020, Mr. Bohrer settled the claim for $5,417.

In March 2019, a FINRA arbitration was filed against or in reference to Bart Bohrer by a customer of Capital Financial Services, Inc. alleging violations of Federal Securities Laws, violations of Minnesota Securities Act, and Violation of FINRA rules. Per the customer, he/she lost over $445,000 because of Mr. Bohrer’s actions. On October 7, 2020, Mr. Bohrer settled the claim for $14,999.

How To File A Claim Against Bart Bohrer of Calton & Associates, Inc. (previously with Capital Financial Services, Inc.) To Get Your Money Back.

If you have questions about Bart Bohrer, Calton & Associates, Capital Financial Services, 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 Anthony Smith?

Filed: January 16, 2024

Anthony Charles Smith (also known as Anthony Smith and Tony Smith) 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 Anthony Charles Smith.

Who Is Anthony Charles Smith of Calton & Associates, Inc.?

• Advisor Name: Anthony Charles Smith
• Aliases: Anthony Smith and Tony Smith
• CRD: 2471757
• Location: Ocala, Florida
• Current Employer: Calton & Associates, Inc.
• Previous Firms: Newport Coast Asset Management, Newport Coast Securities, Inc., and Berthel, Fisher & Company Financial Services, Inc.
• Number of Known Customer Complaints: 2
• Can Anthony Smith Be Sued: Yes, in Private Arbitration
• Can Anthony Smith’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $125,000
• Highest Settlement: $79,000

If you have suffered investment losses by Anthony Smith, 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 Anthony Smith For Broker Misconduct

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

In April 2021, a FINRA arbitration was filed against or in reference to Anthony Smith by a customer of Newport Coast Asset Management and Calton & Associates alleging that Mr. Smith made unsuitable recommendations & strategy. Per the customer, he/she lost over $85,339.41 because of Mr. Smith’s actions. On May 25, 2021, Mr. Smith settled the claim for $79,000, and some or all of this amount may have been paid by Mr. Smith’s employer and/or insurance carrier.

In October 2020, a FINRA arbitration was filed against or in reference to Anthony Smith by a customer of Newport Coast Asset Management and Calton & Associates alleging Suitability, Misrepresentation, and Breach of Fiduciary Duty. Per the customer, he/she lost over $125,000 because of Mr. Smith’s actions. On February 25, 2021, Mr. Smith settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Smith’s employer and/or insurance carrier.

How To File A Claim Against Anthony Smith of Calton & Associates, Inc. (previously with Newport Coast Asset Management, Newport Coast Securities, Inc., and Berthel, Fisher & Company Financial Services, Inc.) To Get Your Money Back.

If you have questions about Anthony Smith, Calton & Associates, Inc., Newport Coast Asset Management, Newport Coast Securities, Inc., Berthel, Fisher & Company Financial Services, 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 Jimmy Makris?

Filed: January 16, 2024

Jimmy Makris (also known as Demetrios Makris) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) regulatory event and nine (9) 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 Jimmy Makris.

Who Is Jimmy Makris?

• Advisor Name: Jimmy Makris
• Aliases: Demetrios Makris
• CRD: 1754955
• Location: Clearwater, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Calton & Associates, Inc., Berthel, Fisher & Company Financial Services, Inc., and Continental Capital Investment Services, Inc.
• Number of Known Customer Complaints: 9
• Number of Known Regulatory Events: 1
• Can Jimmy Makris Be Sued: Yes, in Private Arbitration
• Can Jimmy Makris’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $584,438
• Highest Settlement: $47,610

If you have suffered investment losses by Jimmy Makris, 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 Jimmy Makris For Broker Misconduct

As of this publication date, Jimmy Makris has been the subject of 1 regulatory event and 9 customer disputes. Let’s review them below.

In February 2019, a complaint was filed against or in reference to Jimmy Makris by a customer of Calton & Associates, Inc. alleging suitability. Per the customer, he/she lost over $250,271.68 because of Mr. Makris’s actions.

In January 2019, a complaint was filed against or in reference to Jimmy Makris by a customer of Calton & Associates, Inc. alleging suitability. Per the customer, he/she lost over $584,438 because of Mr. Makris’s actions.

In July 2018, a FINRA arbitration was filed against or in reference to Jimmy Makris by a customer of Calton & Associates, Inc. alleging Unsuitability, Breach of Contract, Common Law Fraud, Negligent Supervision, Breach of Fiduciary Duty. On August 7, 2018, Mr. Makris settled the claim for $37,712.16, and some or all of this amount may have been paid by Mr. Makris’s employer and/or insurance carrier.

In March 2017, a complaint was filed against or in reference to Jimmy Makris by a customer of Calton & Associates, Inc. alleging negligence, the investment was made prior to 1990 to the current date, the funds are invested in an inverse portfolio. As of this publication date, the complaint remains pending.

In December 2016, a complaint was filed against or in reference to Jimmy Makris by a customer of Calton & Associates, Inc. alleging misrepresentation, unauthorized trading, and suitability. Per the customer, he/she lost over $160,000 because of Mr. Makris’s actions. On February 11, 2017, Mr. Makris settled the claim for $47,610, and some or all of this amount may have been paid by Mr. Makris’s employer and/or insurance carrier.

In January 2014, a complaint was filed against or in reference to Jimmy Makris by a customer of Calton & Associates, Inc. alleging breach of fiduciary duty, misrepresentation, and suitability. Per the customer, he/she lost over $90,000 because of Mr. Makris’s actions. On July 23, 2014, Mr. Makris settled the claim for $45,000, and some or all of this amount may have been paid by Mr. Makris’s employer and/or insurance carrier.

In January 2007, a complaint was filed against or in reference to Jimmy Makris by a customer of Berthel, Fisher & Company Financial Services, Inc. alleging that Mr. Makris put her into a variable annuity which performed poorly. Per the customer, she lost over $20,000 because of Mr. Makris’s actions.

In April 2004, a complaint was filed against or in reference to Jimmy Makris by a customer of Berthel, Fisher & Company Financial Services, Inc. alleging that the sale of a variable annuity was unsuitable. Per the customer, she lost over $15,978.87 because of Mr. Makris’s actions.

In January 2002, a complaint was filed against or in reference to Jimmy Makris by a customer of Continental Capital Investment Services (FKA Sky Investments) alleging that the client signed a variable annuity contract in Michigan and that the representative was not appointed by an insurance company in this state. The client also alleges she was not made aware of surrender charges of variable annuity and was under the impression she could redeem shares without penalty after one year. The client asked that contract for herself and her husband be rescinded. On May 11, 2002, Mr. Makris settled the claim for $9,012.92.

In June 1996, Florida Division Of Securities And Investor Protection initiated a regulatory event against or in reference to Jimmy Makris for violating chapter 517, Florida statutes by borrowing money from two of his customers.

How To File A Claim Against Jimmy Makris (previously with Calton & Associates, Inc., Berthel, Fisher & Company Financial Services, Inc., and Continental Capital Investment Services, Inc.) To Get Your Money Back.

If you have questions about Jimmy Makris, Calton & Associates, Inc., Berthel, Fisher & Company Financial Services, Inc., Continental Capital Investment Services, 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 Richard Fredette?

Filed: January 16, 2024

Richard Fredette currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) termination event and four (4) 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 Noel Fredette.

Who Is Richard Noel Fredette?

• Advisor Name: Richard Noel Fredette
• Aliases: Richard Fredette
• CRD: 1283377
• Location: Houston, Texas
• Current Employer: Currently Not Registered
• Previous Firms: Cantella & Co., Inc., Calton & Associates, Inc., and IMS Securities, Inc.
• Number of Known Customer Complaints: 4
• Number of Known Termination Events: 1
• Can Richard Fredette Be Sued: Yes, in Private Arbitration
• Can Richard Fredette’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: $200,000

If you have suffered investment losses by Richard Fredette, 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 Fredette For Broker Misconduct

As of this publication date, Richard Fredette has been the subject of 1 termination event and 4 customer disputes. Let’s review them below.

In September 2019, a complaint was filed against or in reference to Richard Fredette by a customer of IMS Securities & Calton & Associates alleging Suitability, Fraudulent Investment Advice, and Breach of Fiduciary Duty. As of this publication date, this complaint remains pending.

In October 2000, a complaint was filed against or in reference to Richard Fredette by a customer of Tri-Star Financial alleging unsuitable investments.

In March 1986, Prudential Securities Incorporated terminated Richard Fredette.

In March 1986, a complaint was filed against or in reference to Richard Fredette by a customer of Prudential-Bache alleging unauthorized trading and damages of $100,000. Per the customer, he/she lost over $100,000 because of Mr. Fredette’s actions.

In February 1986, a complaint was filed against or in reference to Richard Fredette by a customer of Prudential-Bache Securities, Inc. alleging unauthorized trading,churning, and fraud in connection with the sale of securities in violation of the securities act of 1933, violation of 1934 securities and exchange act anti fraud provision, unlawful sale of securities under texas blue sky act, violations of antifraud provisions of commodity exchange act, breach of fiduciary duties and violations of commodity exchange act and regulations of the commodity futures trading commission, common law fraud and deceit, and breach of contract and warranty. On December 31, 1986, Mr. Fredette settled the claim for $200,000, and some or all of this amount may have been paid by Mr. Fredette’s employer and/or insurance carrier.

How To File A Claim Against Richard Fredette (previously with Cantella & Co., Inc., Calton & Associates, Inc., and IMS Securities, Inc.) To Get Your Money Back.

If you have questions about Richard Fredette, Cantella & Co., Inc., Calton & Associates, Inc., IMS 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 Michael Petyak?

Filed: October 26, 2023

Michael Petyak has been the subject of one (1) customer complaint. 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 Michael James Petyak.

Who Is Michael James Petyak of Calton & Associates, Inc., and Advisory Services Network?

• Advisor Name: Michael James Petyak
• Aliases: Michael J Petyak
• CRD: 2976602
• Location: Ridgeland, Mississippi
• Current Employer: Calton & Associates, Inc., and Advisory Services Network
• Previous Firms: Cambridge Investment Research Advisors, Inc., Cambridge Investment Research, Inc., and LPL Financial LLC
• Number of Known Customer Complaints: 1
• Can Michael Petyak Be Sued: Yes, in Private Arbitration
• Can Michael Petyak’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: $675,000

If you have suffered investment losses by Michael Petyak, 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 Michael Petyak For Broker Misconduct

As of this publication date, Michael Petyak has been the subject of 1 customer dispute. Let’s review it below.

In April 2022, a FINRA arbitration was filed against or in reference to Michael Petyak by multiple customers of Cambridge Investment Research, Inc. alleging that Mr. Petyak made an investment recommendation for the purpose of generating high commissions and fees and that claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio. On July 25, 2023, Mr. Petyak settled the claim for $675,000, and some or all of this amount may have been paid by Mr. Petyak’s employer and/or insurance carrier.

How To File A Claim Against Michael Petyak of Calton & Associates, Inc., and Advisory Services Network (previously with  Cambridge Investment Research Advisors, Inc., Cambridge Investment Research, Inc., and LPL Financial LLC) To Get Your Money Back.

If you have questions about Michael Petyak, Calton & Associates, Inc., Advisory Services Network, Cambridge Investment Research Advisors, Inc., Cambridge Investment Research, Inc., LPL Financial 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.