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Bart James Bohrer with Calton & Associates, Inc. Has 5 Customer Complaints At Capital Financial Services, Inc. For Alleged Broker Misconduct In the Past 2 Years

Who is Bart J. Bohrer with Calton & Associates, Inc. and formerly with Capital Financial Services, Inc.?

Bart Bohrer (CRD #4315654) who is currently registered with Calton & Associates, Inc. and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Prior to Calton & Associates, Inc., Bart Bohrer was associated with Capital Financial Services, Inc. an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Bart Bohrer was an officer and registered representative at both firms.

Calton & Associates, Inc. Broker Misconduct

In his career, Bart Bohrer has been the subject of 5 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. Four of Bart Bohrer’s 5 customer complaints were settled by Capital Financial Services, Inc. in favor of investors. There is currently one pending customer complaint filed against Bart Bohrer’s former employer Capital Financial Services, Inc. for investment losses caused by his alleged misconduct.

Allegations Against Calton & Associates, Inc.

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Clients alleged breach of fiduciary duty, violations of federal securities laws, and violations of state securities laws related to direct investments in the oil and gas sector.
  • Breach of fiduciary duty, violation of federal and state securities laws, negligent supervision, and hiring.
  • Clients alleged violations of federal securities laws, breach of contract, and breach of fiduciary duty.

Bart Bohrer Red Flags & Your Rights as An Investor

Of course, Bart Bohrer did not admit to any of the allegations.  Rather, he contends he was not an officer at the time of the recommendations.  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 Bart Bohrer at Calton & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Bart Bohrerhas engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Capital Financial Services, 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. and Capital Financial Services, Inc.

If you have questions about Calton & Associates, Inc., Capital Financial Services, Inc. and/or Bart Bohrerand 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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