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Curtis Leroy Whipple formerly with Kalos Capital, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct

Who is Curtis L. Whipple formerly with Kalos Capital, Inc.?

Curtis Whipple (CRD #1657643) who was formerly registered with Kalos Capital, Inc. and located in Plymouth, Michigan is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Kalos Capital, Inc., Curtis Whipple was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Curtis Whipple has had his own regulatory problems. He was previously suspended and fined by FINRA for allegedly participating in outside business activities without disclosing them to his former employer, Linsco/Private Ledger Corp.

Curtis Whipple Broker Misconduct

In his career, Curtis Whipple has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses.

One of Curtis Whipple’s 3 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against one of Curtis Whipple’s former employers for investment losses caused by his alleged misconduct.

Allegations Against Curtis Whipple

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

  • Multiple claimants in a single arbitration proceeding have alleged that Curtis Whipple made misrepresentations in unsuitable investment recommendations without doing adequate due diligence to invest in UDF IV.
  • The customer alleged misinformation and failure to follow the customer’s instructions related to managed accounts and equity-indexed annuities.
  • The claimant alleged unsuitable investment recommendations for direct investments and common stock trading.

Curtis Whipple Red Flags & Your Rights as An Investor

Of course, Curtis Whipple 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 Curtis Whipple at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Curtis Whipple has engaged in any stockbroker misconduct that may have caused them investment losses.

There have been a large number of customer complaints at Kalos Capital, Inc. which also raises questions about its 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 Kalos Capital, Inc.

If you have questions about Kalos Capital, Inc. and/or Curtis Whippleand 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 $160 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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