Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Pierce (Pierce), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pierce recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $718,000.00 on December 07, 2020.
Breach of fidciary duty, suitability, overconcentration in alternative investments, failure to supervise.