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Lawrence Napolitano Of Independent Financial Group, LLC And Formerly With Kalos Capital, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Lawrence Napolitano of Independent Financial Group, LLC?

Lawrence Napolitano

Lawrence Napolitano (CRD #4921500) who is currently registered as a broker and investment adviser with Independent Financial Group, LLC and located in Henderson, Nevada, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Lawrence Napolitano was associated with Kalos Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems

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Lawrence Napolitano Customer Complaints

Lawrence Napolitano has been the subject of 3 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Kalos Capital in favor of the investor. His former employer Sammons Securities Co. denied the other customer’s complaint and no further action was taken. There is currently one pending FINRA arbitration proceeding against Kalos Capital for Lawrence Napolitano’s alleged misconduct.

Allegations Against Lawrence Napolitano

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

  • Agent forged a part of the medical examination report in an application for life insurance.
  • Unsuitable recommendation of real estate security.
  • Breach of fiduciary duty related to alternative investments.

Lawrence Napolitano Red Flags & Your Rights As An Investor

Of course, Lawrence Napolitano 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 Lawrence Napolitano at Independent Financial Group, LLC and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Lawrence Napolitano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and Kalos Capital, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call 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 Independent Financial Group, LLC Due To Lawrence Napolitano

If you have questions about Independent Financial Group, LLC, Kalos Capital, Inc. and/or Lawrence Napolitano 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 $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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