In a recent development, a customer has filed a dispute against financial advisor Dharmesh Vora and his former employer, Kalos Capital, Inc. (CRD 44337), alleging unsuitable investment advice related to the recommendation of structured notes in 2021. The case, which is currently pending resolution, has caught the attention of the investment community and raised concerns […]

Brady Jackson, a financial advisor associated with Charles Schwab & Co., Inc. and TD Ameritrade, Inc., is facing a pending customer dispute, as per the information available on his FINRA BrokerCheck record. The client alleges misrepresentation regarding the beneficiary designation of an account starting in January 2019. The disclosure type is listed as a customer

Fidelity Brokerage Services LLC and one of its registered representatives, Pamela Calhoun, are currently facing allegations of unsuitable investment recommendations and overconcentration in structured products. The customer dispute, filed on January 26, 2024, is currently pending resolution, with the claimant seeking damages from the firm and the advisor. According to the disclosure on Calhoun’s FINRA