Articles Tagged with Curtis Whipple

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Whipple (Whipple), previously associated with Kalos Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Whipple recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 19, 2020.

Multi-claimant case, alleging unsuitability, misrepresentation, and lack of due diligence relative to UDF IV.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Whipple (Whipple), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Whipple recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 19, 2020.

Multi-claimant case, alleging unsuitability, misrepresentation, and lack of due diligence relative to UDF IV.