Kalos Capital

Broker Frederick Baerenz in Kalos Capital, INC. Firm Has Customer Complaint

June 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Baerenz (Baerenz), previously associated with Kalos Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baerenz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 20, 2020.

Breach of Fiduciary duty, misrepresentations and ommissions of material facts, failure to conduct due diligence, and unsuitable recommendations.

There are Recent Customer Complaints with Broker Frederick Baerenz in Firm Kalos Capital, INC.

May 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 20, 2020.

Breach of Fiduciary duty, misrepresentations and ommissions of material facts, failure to conduct due diligence, and unsuitable recommendations.

Broker Curtis Whipple in Kalos Capital, INC. Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 19, 2020.

Multi-claimant case, alleging unsuitability, misrepresentation, and lack of due diligence relative to UDF IV.

There are Recent Customer Complaints with Broker Christopher Pullaro in Firm Kalos Capital, INC.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pullaro (Pullaro), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pullaro 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, over concentration in alternative investments, failure to supervise.

Broker David Pierce in Kalos Capital, INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Pierce (Pierce), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pierce 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, overconcentration in alternative investments, failure to supervise.

Broker Stephen Molesky in Kalos Capital, INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Molesky (Molesky), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Molesky 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, over concentration in alternative investments, failure to supervise.

Broker Robert Webb in Kalos Capital, INC. Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Webb (Webb), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 February 26, 2021.

Breach of contract, breach of fiduciary duty and violations of Florida securities statutes. Claimant is seeking an award in the amount of between $50,000 and $100,000, including all direct and/or consequential damages and statutory and/or punitive damages; plus interest and costs as provided by statute.

Broker Robert Courser in Kalos Capital, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Ronald Russell in Firm Kalos Capital, INC.

January 25, 2026 | by Staff Attorney

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.

Broker Thomas Rauchegger in Kalos Capital, INC. Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

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.