Advisor Alert: Our Attorneys Are Investigating Kenneth Richard Harter For Investment Fraud
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.