Articles Tagged with Kalos Capital

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Courser (Courser), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Courser recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 18, 2021.

Unsuitable recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Russell (Russell), previously associated with Kalos Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Russell 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 $200,000.00 on September 03, 2021.

The successor Trustee is alleging breach of fiduciary duty, unsuitable recommendations, misrepresentations and omissions of material facts, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rauchegger (Rauchegger), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rauchegger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 01, 2021.

CLAIMING UNSUITABLE INVESTMENTS IN HIGH COMMISSION, COMPLEX RISKY ALTERNATIVE INVESTMENTS, AND MULTIPLE ILLIQUID INVESTMENTS PRODUCTS.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Cramer (Cramer), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Cramer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 01, 2021.

UNSUITABLE INVESTMENTS IN HIGH COMMISSION, COMPLEX ALTERNATIVE INVESTMENTS AND MULTIPLE ILLIQUID INVESTMENT PRODUCTS.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristian Finfrock (Finfrock), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finfrock 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 $100,000.00 on December 14, 2021.

Breach of fiduciary duty, breach of contract and negligence, negligent supervision, fraudulent inducement to hold investment, violation of FINRA/NYSE rules, and violation of the securities laws, including the Wisconsin Securities Act

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Weschke (Weschke), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weschke 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 $535,000.00 on December 26, 2021.

Negligence, breach of fiduciary, breach of contract, fraud, breach of securities regulatory requirements, and failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Weschke (Weschke), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weschke 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 $535,000.00 on December 26, 2021.

Negligence, breach of fiduciary, breach of contract, fraud, breach of securities regulatory requirements, and failure to supervise

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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,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Welch (Welch), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Welch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 01, 2022.

Recommending and selling securities without adequate due diligence, breach of contract

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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