Keith Deloach (CRD #: 4670905), an investment adviser registered with Vicus Capital, is facing new client complaints, according to his IAPD record, accessed on December 11, 2020.
On September 22, 2020, clients alleged that Mr. Deloach made unsuitable investment recommendations. The client is seeking $312,283; the dispute is pending.
FINRA Rule 2111 requires that investments advisers have a reasonable basis for believing an investment to be suitable for an investor. Suitability takes into account factors like the investor’s experience, age, net worth, and risk tolerance.
Keith Deloach has passed the Series 66 Uniform Combined State Law Examination, and the Series 7 General Securities Representative Examination. He is a registered investment adviser in Florida.
Mr. Deloach has worked at three firms throughout his 17 years of experience.
- Vicus Capital (CRD #: 116021)
- Cetera Advisor Networks (CRD #: 13572)
- Walnut Street Securities (CRD #: 15840)
If Keith Deloach was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.