Investigating Complaints Against Samuel Koltun and RBC Capital.

an investor upset about his losses

Did you suffer investment losses after working with Samuel Kluft Koltun, a/k/a Samuel K. Koltun, a/k/a Samuel (Sam) Koltun, a broker and financial advisor previously registered with the Financial Industry Regulatory Authority (FINRA) through the West Palm Beach, Florida branch of RBC Capital Markets, LLC (RBC) If so, the attorneys of Investment Loss Recovery Group want to help you. We are now investigating potential complaints against Sam Koltun.

Our law firm works with clients nationwide who have lost money due to the negligence and/or misconduct of brokers and financial advisors whom they had trusted to provide sound investment advice and to ethically and responsibly handle their accounts. We bring more than 40 years of combined legal experience to our clients as well as in-depth knowledge of the financial services industry. Both of our broker negligence attorneys have backgrounds as licensed securities brokers and as defense counsel for large Wall Street brokerage firms.

Contact us today if you incurred investment losses after working with Mr. Koltun, RBC or B. B. Graham & Company, Inc.. We will review your potential claims in a free and confidential consultation.

Who Is Samuel ?Sam? Koltun?

You can find information about Sam Koltun (CRD# 1739664) through two databases which are available online and accessible by the public, the FINRA Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD). Based on his FINRA BrokerCheck Report and his IARD Public Disclosure Report:

Mr. Koltun has worked in the financial services industry since 1987. Over the course of his career, he has been registered with FINRA through:

  • J.B. Hanauer & Co. in West Palm Beach, FL (1987-2009)
  • RBC Capital Markets, LLC in West Palm Beach, FL (2009-2018)
  • B.B. Graham & Company, Inc. in Jupiter, FL (2018 present)

He became registered through J.B. Hanauer & Co. in 1987 and he was employed in West Palm Beach, Florida. In 2009, RBC took over that office and Sam Koltun transferred his registration to RBC and worked in the RBC office in West Palm Beach, Florida until August 2018, when he transferred to the Jupiter, Florida office of B.B. Graham & Company, Inc.

FINRA Brokercheck records reflect five customer dispute disclosures since 2015 (four have been settled and one remains pending). All five of these customer disputes allege unsuitable recommendations of Puerto Rico bonds. Prior to 2015, Mr. Koltun’s FINRA Brokercheck report also discloses additional customer disputes as well as a regulatory disclosure and a criminal disclosure. See FINRA Brokercheck report for additional details.

What are the Recent Customer Disputes Reported on Sam Koltun’s FINRA Brokercheck?

The allegations reflect unsuitable investment recommendations in Puerto Rico bonds, with some allegations referring to over-concentration and/or failure to disclose the risks associated with those investments.

Some of the recommendations referenced appear to run between the 2008-2015 time-frame, and it is important to note that there were significant developments relating to these types of investments in the 2013-2014 time frame as well. The majority of the issues appear to arise during the time frame that Mr. Koltun was registered with RBC.

How Can You Recover Investment Losses Involving Mr. Koltun or RBC?

If you suffered investment losses involving Mr. Koltun or RBC due to issues related to Puerto Rico bonds, or if you suspect your accounts or investments were handled negligently or improperly, you may wish to seek legal advice and a no-cost review of your accounts or investments as soon as possible. You may be entitled to a recovery of your losses in addition to other damages. You may also have the right to file a private, confidential FINRA complaint against any broker, or brokerage firm that failed to properly handle your investment account, or may have failed to adequately supervise your investment accounts, or Mr. Koltun’s conduct as a broker and financial advisor.

The skilled securities arbitration and investment fraud lawyers of Investment Loss Recovery Group have an insider’s view of the legal and regulatory issues that can affect a case, and we understand how brokerage firms evaluate these matters. We can review your case and present you with a strategic plan to help you recover your investment losses as expeditiously as possible.

We serve clients throughout the country. Contact us today for a free consultation and find out more about how we can assist you.

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