FINRA Broker Check: Samuel Kluft Kolton

Samuel Kluft Kolton CRD

Disclosure Events

The Following Types Have Been Reported

• 4 Customer Disputes

Settled Customer Dispute
Reporting Source: Firm

Employing Firm: J.B. Hanauer & CO.

Allegations: Common law fraud, negligent misrepresentation, breach of fiduciary duty, and violation of chapter 517, Florida Statutes relating to purchases made in July 1999

Alleged Damages: $15,000
Pending Customer Dispute
Reporting Source: Firm

Employing Firm: RBC Capital Markets, LLC

Allegations: Overconcentration in Puerto Rico bonds and that the risk associated with this investment were not disclosed, in the period 2010-2015

Alleged Damages: $655,000

• Docket/Case#: 15-02663
• Date Notice: 10-16-15

Pending Customer Dispute
Reporting Source: Firm

Employing Firm: RBC Capital Markets, LLC

Allegations: Overconcentration in Puerto Rico bonds and that the risk associated with this investment were not disclosed, in the period 2008-2015

Alleged Damages: $750,000

• Docket/Case #: 15-02662
• Date Notice: 10-16-15

Pending Customer Dispute
Reporting Source: Firm

Employing Firm: RBC Capital Markets, LLC

Allegations: 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

Alleged Damages: -