X0405 TA-1/A 0001897086 XXXXXXXX 084-06824 false LIVE SEC Cobalt Investment Services LLC 369587 801 International Parkway Suite 500 Lake Mary FL 32746 N 4076493150 N N N N Corporation Benjamin Schick 11/16/2021 Managing Member E true N N N N N N N N N N N N N N N N N N N N N Y Benjamin M. Schick Julie A. Coombs Tupper, et al. v. Cobalt Capital, Inc. and Benjamin Schick, FINRA Case No. 25 00465 Firefox https://www.edgarfiling.sec.gov/submitTA1Form.html?action=print 3 03/06/2025 FINRA Arbitration Charlotte, NC Customer Complaint: Claimant believes Respondents were negligent, breached fiduciary duties, and violated Regulation Best Interest (Rule 15l-1(a)) by recommending unsuitable non-traditional investments. Respondents are accused of failing to exercise the required care, skill, and diligence in understanding the risks and costs of these investments or comparing them to safer alternatives better suited to Claimant's needs. They also allegedly failed in their ongoing responsibilities to monitor and assist Claimant and instead persuaded her to invest further in these high-risk products without proper disclosures or due diligence. Pending Arbitration N N Benjamin Schick 4076493150 Managing Member 04/22/2026