Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Topka (Topka), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Topka recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $297,500.00 on February 08, 2022.
Sale of unsuitible securities, ommission of material fact, breach of fiduciary duty, failure to supervise,