Stoltmann Law Offices is investigating Marc Kalter, a broker with Dawson James Securities in New York, New York. According to complaints made against him with the Financial Industry Regulatory Authority (FINRA), Kalter allegedly made unsuitable investments, participated in unauthorized trading, breach of fiduciary duty, fraud, negligence and churning, among other things. Churning, or excessive trading, is a tactic used by brokers to generate large commissions for themselves. It is against securities rules and regulations and often results in costing the investor large fees. Please call our Chicago-based securities law firm today at 312-332-4200 to speak to one of our attorneys if you suffered losses with Marc Kalter. We may be able to bring a claim against Dawson James Securities for not reasonably supervising him and allowing him to churn accounts. The call is free with no obligation. We take cases on a contingency fee basis only.
Kalter was registered with Smith Barney, Stratton Oakmont, Windsor Reynolds Securities, Biltmore Securities, Monitor Investment Group, Meyers Pollock Robbins and Woodstock Financial Group. He is currently registered with Dawson James Securities in New York, New York and has been since February 2016. He has six customer disputes against him, two of which are currently pending.