Investors potentially experienced sales practice violations by securities broker Ronald Warren Wingerter [CRD: 4184143, Lady Lake, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ronald Wingerter worked for Arkadios Capital from December 19, 2017, to July 29, 2022. Continue reading to learn more about the disclosures reported on his record.
Evidently, a Calton Associates Inc. client filed FINRA Arbitration No. 25-02188 about Ronald Wingerter. Primarily, the client alleged that Wingerter breached his fiduciary duty and was negligent, including making unsuitable recommendations. Because of this, the client allegedly sustained damages involving real estate securities. Consequently, on December 10, 2025, Calton Associates Inc. settled this matter by paying the client $27,000 in damages.
Specifically, an Arkadios Capital client filed FINRA Arbitration No. 21-00916 about Ronald Wingerter. Mainly, the client alleged that Wingerter made unsuitable recommendations. For this reason, the client allegedly experienced damages connected to private placements. Therefore, on January 20, 2022, Arkadios Capital settled this matter by paying the client $50,000 in damages.
Also, a Calton Associates Inc. and Arkadios Capital client filed FINRA Arbitration No. 20-04067 about Ronald Wingerter. Primarily, the client alleged that Wingerter breached his fiduciary duty and was negligent. Because of this, the client allegedly incurred damages relating to business development companies and real estate securities. As a result, on July 25, 2022, Calton Associates Inc. Arkadios Capital settled this matter by paying the client $55,000 in damages.
Do you have concerns or questions regarding investments you made with Ronald Wingerter? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Wingerter and brokerage firms Wingerter worked for deny accusations of sales practice violations.
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Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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