Michael J. Haffling of Orland Park, Illinois, a stockbroker formerly registered with Kalos Capital Inc., is identified in a customer initiated investment related FINRA securities arbitration claim that was resolved for $13,803.26 in damages because of the alleged recommendation and sale of illiquid, risky alternative investments for the customer’s individual retirement accounts at Kalos Capital….

Andrew W. Topka of Mount Pleasant, South Carolina, a stockbroker formerly registered with Kalos Capital Inc., is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $297,500.00 in damages founded on accusations of unsuitable trading and breach of fiduciary duty concerning business development companies, direct investments, and real estate…

Christopher John Shaw (also known as Chris John Shaw), a stockbroker formerly registered with Kalos Capital, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $25,000.00 on June 30, 2021, supported by accusations of breach of fiduciary duty relating to illiquid and risky alternative investments, including non-traded…

David Michael Lademan of Okemos Michigan, a stockbroker formerly registered with Kalos Capital Inc., is referenced in a customer initiated investment related FINRA arbitration claim in which the customer sought up to $500,000.00 in damages founded on allegations of negligent supervision and breach of contract concerning private placements and real estate securities through Lademan at…

Arni Jay Diamond (also known as Arni Jat Diamond), of Charlotte, North Carolina, a stockbroker formerly registered with Kalos Capital Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $280,000.00 in damages founded on accusations that unsuitable real estate security transactions were effected in the…

Darren Michael Kubiak, of Alpharetta, Georgia, a stockbroker formerly registered with Kalos Capital Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,000,000.00 in damages founded on accusations of breach of fiduciary duty and the violation of securities laws regarding preferred stock, real estate security, and…

Eric Peter Weschke, of Setauket, New York, a stockbroker currently registered with Kalos Capital Inc., is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $138,000.00 in damages founded on accusations of negligence and unsuitable alternative investment transactions by Weschke during the time that he was associated with…

Joseph Patrick Roop (also known as Joepat Roop), of Belmont, North Carolina, a stockbroker formerly registered with Kalos Capital Inc., is the subject of a customer initiated investment related written complaint on August 5, 2021, where the customer sought compensatory damages supported by allegations of unsuitable investment recommendations of real estate security products by Roop…

Frederick Peter Baerenz (also known as Fred Baerenz) of Great Falls Virginia a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment complaint which was settled for $14,000.00 in damages on August 20, 2020, based upon accusations that Baerenz provided unsuitable recommendations regarding alternative investment transactions during the time that…

David Michael Lademan of Okemos Michigan a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related written complaint on August 18, 2021, in which the customer requested compensatory damages founded on allegations of false statements and omissions relating to business development company (BDC), real estate security (REIT), equipment leasing,…

Michael J. Haffling of Chicago Illinois a stockbroker currently registered with Kalos Capital Inc. and Kalos Management is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested more than $100,000.00 in damages founded on allegations of negligence and breach of fiduciary duty concerning real estate security transactions by Haffling…

William Charles Sines (also known as Bill Sines) of Seminole Florida a stockbroker currently registered with Berthel Fisher Company Financial Services is the subject of a customer initiated investment related written complaint on December 31, 2020 in which the customer requested more than $5,000.00 in damages supported by allegations that the customer was sold an…

Christopher John Shaw (also known as Chris Shaw) of Belmont North Carolina a stockbroker of Kalos Capital and investment adviser representative of Kalos Management is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $175,000.00 in damages founded on allegations that Shaw breached a fiduciary duty to the…

Arni Jat Diamond (also known as Arni Jay Diamond) of Jacksonville Florida a stockbroker formerly registered with Kalos Capital Inc. is the subject of a customer initiated investment related written complaint which was resolved on January 18, 2021 for $17,749.00 in damages based upon allegations that Diamond’s alternative investment advice or handling of the customer’s…

Joseph Patrick Roop (also known as Joe Pat Roop) of Belmont North Carolina a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $25,000.00 in damages based upon accusations that the customer received unsuitable investment recommendations from Roop concerning real estate…

Eric Peter Weschke of Setauket New York a stockbroker currently registered with Kalos Capital Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $718,000.00 in damages supported by allegations of Weschke overconcentrating the customer’s investments in limited partnership interests and alternative investments during the period…

Michael J. Haffling of Orland Park Illinois a stockbroker formerly registered with Kalos Capital Inc. and an investment adviser representative of Kalos Management is the subject of a customer initiated investment related written complaint which was settled for $55,000.00 in damages on July 13, 2020 based upon allegations of Haffling and Kalos Capital having failed…

Darren Michael Kubiak of Alpharetta Georgia a stockbroker formerly employed by Kalos Capital Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $250,000.00 in damages based upon allegations that a contract had been breached and that a fiduciary duty that was owed to the customer had been breached…

Joseph Patrick Roop (also known as Joepat Roop) of Belmont North Carolina a stockbroker formerly employed by Kalos Capital Inc. has been identified in a customer initiated investment related written complaint which was resolved for $17,500.00 in damages on January 29, 2020 founded on accusations that the customer was placed into unsuitable real estate securities…

Joseph Patrick Roop (also known as Joepat Roop) of Belmont North Carolina a stockbroker formerly employed by Kalos Capital Inc. is referenced in a customer initiated investment related arbitration claim where the customer requested $450,000.00 in damages supported by accusations that between November of 2012 and May of 2017, the customer had been placed into…

Eric Peter Weschke of Setauket New York a stockbroker currently employed by Kalos Capital is the subject of a customer initiated investment related arbitration claim in which the customer requested $127,000.00 in damages founded on accusations that (1) the customer’s assets were inappropriately invested by Weschke in private equity products including GPB when he was…

Kalos Capital, a securities broker dealer headquartered in Alpharetta Georgia, and Darren Michael Kubiak of Lawrenceville Georgia, a stockbroker formerly registered with Kalos Capital, have been sanctioned by Financial Industry Regulatory Authority (FINRA) based upon findings that (1) leveraged inverse exchange traded funds (LIETFs) had been recommended to the firm’s customers without Kalos Capital or…

William Charles Sines of Seminole Florida a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related complaint which was resolved for $19,737.00 in damages on March 2, 2018 based upon allegations that unsuitable real estate security and mutual fund recommendations had been made to the customer. Financial Industry Regulatory…

Curtis Leroy Whipple, of Plymouth, Michigan, a stockbroker currently registered with Kalos Capital, Inc., has been named in a customer initiated investment related arbitration claim, which settled on March 3, 2017, for $14,999.00 in damages founded upon allegations that he breached his contractual and fiduciary obligations to the customer, and negligently handled the customer’s investment…