Securities Lawyers Blog
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.