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John Farley is Involved in an Investor Dispute

John Farley (CRD #: 6549498), a broker registered with Kalos Capital, is involved in an investor dispute, according to his BrokerCheck record accessed on February 10, 2022. He is also an investment advisor registered with Kalos Management. Keep reading if you are concerned with John Farley’s conduct as a broker.

Investor Allegations

On December 26, 2021, John Farley was named in an investor dispute alleging violation of federal and state securities laws, breach of contract, breach of fiduciary duty, negligence and gross negligence, and the sale of unsuitable investments.

The damage amount requested is $200,000 一 the case is still pending.

Background Information

John Farley has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

John Farley is a registered broker in six states. He is also a registered investment advisor in South Carolina.

He has also worked with LPL Financial (CRD#:6413) and Level Four Advisory Services (CRD#:134086).

Kurta Law Can Help

If you have worked with John Farley and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Please reach out if you have any questions about what steps to take next to recover your investment losses.

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