Calton & Associates Broker, Bart Bohrer, Has Four Pending Customer Complaints, Alleging Sales Practice Misconduct
Bart Bohrer (CRD # 4315654) is a Financial Advisor at Calton & Associates in Tampa, FL. Bart Bohrer has been in the securities industry since 2003 and has been registered with Calton & Associates this entire time.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Bart Bohrer has four pending customer complaints, alleging sales practice misconduct. Among the complaints against Bart Bohrer include the following:
• January 2020—”Breach of fiduciary duty, violations of federal and state securities laws, negligent supervision / hiring.” Alleged damages are $200,000 and the matter remains pending.
• December 2019—”Clients allege Breach of Fiduciary Duties, violations of Georgia Uniform Securities Act, Breach of Contract, Negligence date range is from 05/2013 – 06/2017.” Alleged damages are $489,681 and the matter remains pending.
• October 2019—”Client allege violations of federal securities laws, breach of contract, breach of fiduciary duty.” Alleged damages are $5,000 and the matter remains pending.
• March 2019—”Client alleges violations of Federal Securities Laws, violations of Minnesota Securities Act, Violation of FINRA rules.” Alleged damages are $445,000 and the matter remains pending.
For a copy of Bart Bohrer’s CRD, click https://brokercheck.finra.org/individual/summary/4315654#disclosuresSection
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at 800.931.8452 or by email at email@example.com.
- Recovery Options For Investors Who Suffered Losses In Auto-Callable Structured Notes
- Pruco Securities Financial Advisor, Christopher Shaw, Has Three Pending Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Newbridge Securities Financial Advisor, Kerri Jamison, Has Four Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- The State of Massachusetts Securities Division Has Filed An Enforcement Action Against GPB Capital Holdings, LLC, Alleging, Fraud And Undisclosed Conflicts Of Interest
- Insight Securities Broker, Carlos Legacy, Has Four Pending Customer Complaints, Involving The Sale Of Worthless Securities
- Former BMA Securities Broker, Martin Noonan, Barred By FINRA After Failing To Cooperate In An Investigation Regarding Excessive Trading
- Merrill Lynch Broker, Christopher Roumayeh, Suspended By FINRA For 21 Months For Engaging In Unapproved Outside Business Activities
- Former Aegis Capital And Joseph Stone Capital Broker, Steven Luftschein, Has 17 Disclosed Customer Complaints And A Pending FINRA Enforcement Action
- Pruco Securities Financial Advisor, Christopher Shaw, Has Three Customer Complaints, Allegding Damages Of More Than $1 Million
- FINRA Files Enforcement Action Against Former Maloney Securities Broker, Joseph John Weinrich, For Non-Disclosure Of Items On His CRD And Making False Statements To His Employer