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Kent Engelke Of Capitol Securities Management, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Kent Engelke of Capitol Securities Management, Inc.?

Kent Engelke (CRD #1421164) who is currently registered with Capitol Securities Management, Inc. and located in Glen Allen, Virginia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Capitol Securities Management, Inc., Kent Engelke was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Kent Engelke Customer Complaints

Kent Engelke has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were settled favorably by Kent Engelke’s employer for the investors.

Allegations Against Kent Engelke

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

  • Unsuitable investment recommendations and overconcentration of client’s assets in high-risk investments, including non-investment grade bonds.
  • Trustee’s alleged the financial advisor invested in securities that were not in line with the trust’s objectives and for failure to advise the trustees appropriately on the assets held in the account.
  • Unsuitable investment recommendations.

Kent Engelke Red Flags & Your Rights As An Investor

Of course, Kent Engelke 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 Kent Engelke at Capitol Securities Management, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kent Engelke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capitol Securities Management, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, all us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Capitol Securities Management, Inc. Due To Kent Engelke

If you have questions about Capitol Securities Management, Inc. and/or Kent Engelke 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.

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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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