Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mirolli (Mirolli), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mirolli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $70,000.00 on December 06, 2021.
CLAIMANT ALLEGES THAT TRIAD, THROUGH THE REPRESENTATIVE, RECOMMENDED AN INVESTMENT THAT WAS NOT IN KEEPING WITH THE CLIENT’S OBJECTIVES, AND THAT THE REVIEW OF THE PRODUCT AND DISCLOSURES TO THE CLIENT WERE NOT ADEQUATE.