KATHIE LEE FOREMAN is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 301 River Road, Suite 301, Maumee, OH, 43537.
KATHIE LEE FOREMAN has worked at CALTON & ASSOCIATES, INC. since June 14, 2016
Disclosure History
KATHIE LEE FOREMAN has 6 Disclosure Event(s).
Date: August 19, 2016 Category: Customer Dispute Allegations: Client alleges mismanagement of account which resulted in losses. Damage Amount Requested: $16,000.00 Settlement Amount: $2,000.00 Broker Comment: Kathie Foreman denies these allegations and maintains the recommended investment strategy was suitable based on the client's stated risk tolerance and investment objectives. I agreed to settle to avoid further legal expenses.
Date: November 30, 2015 Category: Customer Dispute Allegations: Client alleges that in September of 2014, her accounts were poorly managed and inappropriately invested given her age. Damage Amount Requested: $200,000.00
Date: October 23, 2015 Category: Customer Dispute Allegations: Client alleges May of 2015, he opened an account that was misrepresented and unsuitable given his investment objectives and financial goals. Damage Amount Requested: $22,000.00
Date: October 16, 2015 Category: Customer Dispute Allegations: Client alleges March of 2013, account was not properly diversified giving her risk tolerance. Damage Amount Requested: $7,259.00 Settlement Amount: $7,329.00
Date: February 18, 2013 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT IN OCTOBER 2012, RR FAILED TO FOLLOW INSTRUCTIONS TO LIQUIDATE TWO (2) INVESTMENTS WHICH WOULD HAVE LOCKED IN A TAX LOSS FOR THE 2012 TAX YEAR. Damage Amount Requested: $6,146.29 Settlement Amount: $6,146.29 Broker Comment: BASED UPON HER COMMITMENT TO CUSTOMER SATISFACTION RR AGREED TO SETTLEMENT.
Date: April 20, 2009 Category: Customer Dispute Allegations: APRIL OF 2007, CLAIMANT ALLEGES THAT HE SUFFERED MONETARY DAMAGES IN HIS INVESTMENT ACCOUNT BECAUSE OF MISREPRESENTATIONS, UNSUITABLE RECOMMENDATIONS AND OMISSIONS BY HIS REPRESENTATIVE. Damage Amount Requested: $94,000.00 Settlement Amount: $14,500.00 Broker Comment: KATHIE FORMAN HAS STEADFASTLY MAINTAINED HER INNOCENCE OF ANY WRONGDOING IN CONNECTION WITH THIS ARBITRATION. THE FIRM IN ITS COMMITMENT TO CUSTOMER SATISFACTION AND TO AVOID EXCESSIVE LEGAL FEES SETTLED THIS ARBITRATION WITH THE CLIENT.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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