Investigation of Former Kalos Capital, Inc. Broker David Lademan

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Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Kalos Capital, Inc. broker David Lademan (CRD# 2479077). David Lademan was registered with LPL Financial LLC in Okemos, Michigan from 2018 to 2019 and with Kalos Capital, Inc. in Okemos, Michigan from 2012 to 2018.

David Lademan Faces Multiple Customer Complaints

David Lademan has been the subject of six customer complaints between 2011 and 2021, one of which was denied, according to his CRD report:

  • August 2021. “False and misleading statements and omissions of material fact, breach of fiduciary duty, breach of express/implied contract, breach of duty of good faith and fair dealing, material misrepresentations and omissions, negligence and/or grossly negligence, and failure to supervise.” The case is currently pending. The complaint took place while David Lademan was registered with Kalos Capital, Inc. and was regarding direct investments, equipment leasing, real estate securities, and business development companies (BDCs).
  • April 2021. “TBD (tolling agreement).” The case was settled for $8,000. The complaint was regarding direct investments and took place while David Lademan was registered with Kalos Capital, Inc.
  • December 2020. “Claiming unsuitable investment recommendations and failure to perform due diligence on GPB Capital Holdings.” The customer sought $200,000 in damages and the case was settled for $20,555. The complaint took place while David Lademan was registered with Kalos Capital, Inc.
  • April 2020. “This claim is based on the underperformance of a single investment. The allegation is there was a failure to properly and thoroughly conduct due diligence.” The customer sought $200,000 in damages and the case was settled for $46,285. The complaint took place while David Lademan was registered with Kalos Capital, Inc. and was regarding direct investments.
  • January 2020. “All the claims are based on a single poor performing security. Allegations include inadequate due diligence, unsuitable investment, and over concentration.” The case was settled for $116,249. The complaint took place while David Lademan was registered with Kalos Capital, Inc. and was regarding direct investments, real estate securities, and private equities.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Kalos Capital, Inc. may be liable for investment or other losses suffered by David Lademan’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.