According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kalomira Zangoulos (Zangoulos), previously associated with Sagepoint Financial, Inc., has at least one disclosable event. These events include one tax lien, alleging that Zangoulos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on June 28, 2024.
Without admitting or denying the findings, Zangoulos consented to the sanctions and to the entry of findings that she falsified a personal bank account statement she submitted to her member firm pursuant to a heightened supervision plan (HSP). The findings stated that when Zangoulos associated with the firm, it conditioned her continued association on compliance with an HSP requiring her to, among other things, periodically submit copies of her personal bank account statements to the firm. Pursuant to the HSP, Zangoulos provided the firm an account statement for her personal bank account that she had altered to remove certain transactions, including charges for insufficient funds and a cash withdrawal at a casino. Zangoulos never informed the firm that she had altered the statement.