Jack Matthew Cayce, of Atlanta, Georgia, a stockbroker registered with Kalos Capital Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Cayce made unsuitable recommendations and failed to perform due diligence on GPB Automotive securities during the time that Cayce was registered with Kalos Capital Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-01269 (January 18, 2021).
This is not the first time that Cayce has been referenced in a customer initiated investment related dispute concerning Cayce’s conduct in the securities industry. FINRA Public Disclosure shows that Cayce was also referenced in a customer initiated investment related complaint filed on March 22, 2006, in which the customer requested compensatory damages based upon allegations that Cayce mismanaged investment accounts during the time that Cayce was registered with Citigroup Global Markets Inc. The securities broker dealer denied this dispute.
Cayce was registered with Kalos Capital Inc. as a stockbroker from May 16, 2016, to October 3, 2022, and registered with Kalos Management as an investment adviser representative from May 18, 2016, to July 11, 2018. He became registered with Purshe Kaplan Sterling Investments on January 23, 2023, Apollon Wealth Management LLC on May 12, 2023, and Catalyst Wealth Management on May 3, 2018.
