Samuel Kluft Kolton CRD

Samuel Kluft Kolton FINRA CRD

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Disclosure Events

The Following Types Have Been Reported

  • 4 Customer Disputes

Settled Customer Dispute

Reporting Source Employing Firm Allegations Alleged Damages
Firm J.B. Hanauer & CO. Common law fraud, negligent misrepresentation, breach of fiduciary duty, and violation of chapter 517, Florida Statutes relating to purchases made in July 1999 $15,000

Pending Customer Dispute

Reporting Source Employing Firm Allegations Alleged Damages
Firm RBC Capital Markets, LLC  Overconcentration in Puerto Rico bonds and that the risk associated with this investment were not disclosed, in the period 2010-2015 $655,000
Docket/Case # Date Notice
15-02663 10-16-15

Pending Customer Dispute

Reporting Source Employing Firm Allegations Alleged Damages
Firm RBC Capital Markets, LLC Overconcentration in Puerto Rico bonds and that the risk associated with this investment were not disclosed, in the period 2008-2015 $750,000
Docket/Case # Date Notice
15-02662 10-16-15

Pending Customer Dispute

Reporting Source Employing Firm Allegations Alleged Damages
Firm RBC Capital Markets, LLC  Client’s son questions the suitability and concentration of Puerto Rico bond investments in her account. Requests that the bonds be sold at cost, damages unspecified but believed to exceed $5,000

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