May 2017-Plymouth, MI
The FINRA records of Curtis L. Whipple, a stockbroker who is currently registered with Kalos Capital disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In pending FINRA arbitration 17-0633, a customer of Whipple’s prior employer, Investacorp. Inc. alleges damages of $99,000 for unsuitable investments in limited partnerships and direct investments.
Curtis L. Whipple has been employed by Kalos Capital since 11/2012. He was employed by Investacorp from 10/2008-11/2012.
If you have questions about an account handled by Curtis L. Whipple , contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870