Expert Review

Ken Schapiro: Charged by SEC? (New Update 2023)

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Who is Ken Schapiro (CRD#: 1890303)?Everything you need to know about Ken Schapiro and their accolades

Ken Schapiro started Condor Capital in 1988, straight out of business school. As a Chartered Financial Analyst charter holder, He oversees the portfolios of high-net-worth individuals, trusts, pension plans, and businesses. Condor Capital was created from the ground up and just reached $1 billion in assets under management. For the third year in a row, Condor Capital was listed by Barron’s in their annual Top Advisors List. Additionally, NJBiz Magazine’s list of the best places to work in New Jersey just included Condor.

In 1988, right out of business school, He founded Condor Capital. He manages the portfolios of high-net-worth individuals, trusts, pension plans, and enterprises in his capacity as a chartered financial analyst. Just recently, Condor Capital, which was founded from scratch, managed $1 billion in assets. Barron’s included Condor Capital in their annual Top Advisors List for the third consecutive year. Additionally, Condor just made the list of NJBiz Magazine’s top places to work in New Jersey.

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About FIRM:History, achievements, leadership, lawsuits, & disputes

A registered investment adviser with the SEC, Condor Capital was established in 1988. Our mission is to be more than simply your investment manager by offering a wide variety of financial planning services.

Only fees are charged while using our investment management services. There is no conflict of interest around our investment choices because our fees are determined by the size of our customers’ portfolios rather than by commissions or the number of trades.

We provide you with free, limitless, and in-depth financial planning assistance as part of our integrated approach to investment management.

Our wealth management solutions, which combine investment management, financial planning, and relationship management services with advice from your other advisors, are something we take great delight in offering. They make it possible for you to organize your complicated financial affairs.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

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Ken Schapiro Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against Ken Schapiro

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.
6/12/2023 Update
As of now, Ken Schapiro has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

FINRA’s BrokerCheck

individual_1890303.pdf (sec.gov)

SEC Litigations & Forms

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Source: Ken Schapiro – SEC Site Search Search Results

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Ken Schapiro Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Ken Schapiro

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, and Trellis. law, and Law360. If Ken Schapiro has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Ken Schapiro which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Theresa Gorin on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

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Ken Schapiro Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Ken Schapiro

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Ken Schapiro using the websites down below:

You can contact the law firms mentioned above if facing issues with Ken Schapiro or any financial advisor.

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Better Alternatives To Ken Schapiro (By Experts):Find the top 3 alternatives to Ken Schapiro

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Assets Managed
Pros
Cons
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Summit Rock Advisors
#1 Rated Investment Advisor
Get in touch
Assets Managed
$19.9 Billion
Pros
0 Disciplinary Actions
1:2 advisor/client ratio
Cons
3 Conflict Laerts
Top Recommendation
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Fort Washington Investment Advisors
Best Customer Service In The Market
Get in touch
Assets Managed
$52.42 Billion
Pros
Good advisor/client ratio
Reputed
Cons
None
1625686851535
Fisher
Investments
Highest Rated On Independent Platforms
Get in touch
Assets Managed
$17.3 Billion
Pros
Fee-only
High overall rating
Cons
Several complaints on platforms
You can check out the top 10 financial advisors in the U.S. to learn more.

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