Securities Lawyers Blog
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