| Read Time: 2 minutes | News & Articles |


J.M. Cayce Formerly With Kalos Capital, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is J.M. Cayce Formerly With Kalos Capital, Inc.?

J.M. Cayce (CRD #4189311) who was formerly registered with Kalos Capital, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kalos Capital, Inc., J.M. Cayce was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

J.M. Cayce Customer Complaints

J.M. Cayce has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Kalos Capital in favor of the investor. The other customer complaint was denied by Citigroup Global Markets and the customer took no further action.

Allegations Against J.M. Cayce

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

  • The management of the account is not in client’s best interests; rather, it was managed in a manner to generate the maximum fees for his financial advisor.
  • Unsuitable investment recommendation of GPB private placement.

J.M. Cayce Red Flags & Your Rights As An Investor

Of course, J.M. Cayce 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 which should put all current and former customers of J.M. Cayce at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether J.M. Cayce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. also raises questions about the brokerage firm’s 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. Due To J.M. Cayce

If you have questions about Kalos Capital, Inc. and/or J.M. Cayce and 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars