Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathie Foreman (Foreman), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Foreman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint with a damage request of $50,000.00 on December 14, 2023.
Arbitration Statement of Claim alleged misrepresentation and negligence in connection with the investments purchased in 2011 and 2012. Claimant further alleges the BD supervision of the claimant’s account was inadequate.