Marc Neil Kalter of New York New York a stockbroker formerly registered with Dawson James Securities Inc. has been discharged by the firm on July 20, 2018 based upon allegations that (1) Kalter solicited investment transactions from investors residing in states in which Kalter was not registered as a securities person and (2) Kalter utilized […]
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Tag Archives: Marc Neil Kalter
Dawson James Broker Fired For Unregistered Activities
March 04, 2019 | Posted by : Guiliano Law Group | Boilerroom Sales, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments
Woodstock Financial Group Named In Customer Securities Arbitration
January 03, 2017 | Posted by : Guiliano Law Group | Churning, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments
Marc Neil Kalter, of Garden City, New York, a stockbroker formerly registered with Woodstock Financial Group, has been named in a customer initiated investment related arbitration claim on March 21, 2016, in which the customer requested $182,000.00 in damages based upon allegations that Kalter breached his fiduciary duty to the customer, excessively traded and churned […]
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