Investors potentially incurred losses because of securities broker Curvin Elwood Miller IV (also known as Curv Miller) [CRD: 5106137, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curvin Miller worked for Arkadios Capital from September 14, 2022, to March 29, 2024, and previously worked for Kalos Capital Inc. from July 11, 2006, to September 8, 2022. Investors are encouraged to keep reading to learn more about the disclosures associated with Curvin Miller’s registration history.
Particularly, on March 12, 2025, a Kalos Management client filed FINRA Arbitration No. 25-00501 concerning Curvin Miller. Primarily, the client alleged that Miller breached his fiduciary duty and failed to disclose conflicts of interest involving Kalos Capital and the Wildermuth Endowment Funds. Because of this, the client allegedly experienced damages related to interval funds. Therefore, the client requested $70,449.45 in compensation from Kalos Management or Miller. It appears that this arbitration awaits a resolution.
Also, a Kalos Capital Inc. client filed FINRA Arbitration No. 21-00923 regarding Curvin Miller. Mainly, the client alleged that Miller breached a contract, failed to supervise, and was negligent, including negligent misrepresentation. For this reason, the client allegedly sustained damages related to direct investments and alternative investments such as real estate investment trusts and business development companies. As a result, on April 5, 2022, Kalos Capital Inc. settled this matter by paying the client $9,183.67 in damages.
Notably, a Kalos Capital Inc. client filed FINRA Arbitration No. 20-02023 concerning Curvin Miller. Primarily, the client alleged that Miller failed to perform adequate due diligence, failed to recommend suitable investments, and breached his fiduciary duty. Because of this, the client allegedly incurred damages related to direct investments and real estate securities. Consequently, on January 18, 2021, Kalos Capital Inc. settled this matter by paying the client $36,882 in damages.
Do you need clarification on any investment losses relating to Curvin Miller? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm represents investors on a contingency fee basis and advances all costs. Miller and brokerage firms Miller worked for deny allegations of sales practice violations.
Robert Averwater (CRD 5614514) is a Memphis, Tennessee broker. FINRA fined him $10,000, suspended him from association with any member firm in all capacities for four months, and required him to complete 10 hours of continuing education, according to an AWC issued August 18, 2026.
Qi Yang (CRD 7439718) is a San Francisco, California broker. FINRA suspended him from association with any member firm in all capacities for six months and assessed a deferred fine of $5,000, according to an AWC issued August 10, 2026.
Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
Phone:
Fax: 1-954-760-6553
Email: [email protected]