Tag Archives: Kalos Capital Inc.

Investors File Securities Arbitration Claim Against Kalos Capital Over Alternative Investments

March 08, 2021  |   Posted by :   |   Alternative Investments, FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs, Unsuitable Investment Recommendations   |   Comments Off on Investors File Securities Arbitration Claim Against Kalos Capital Over Alternative Investments

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 […]

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Kalos Capital Sued For Breach Of Fiduciary Duty

February 01, 2021  |   Posted by :   |   Alternative Investments, Breach of Fiduciary Duty, Failure to Conduct Due Diligence, Investment and Regulatory News   |   Comments Off on Kalos Capital Sued For Breach Of Fiduciary Duty

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 […]

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Kalos Capital Accused Of Unsuitable Alternative Investments

December 07, 2020  |   Posted by :   |   Failure to Conduct Due Diligence, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Kalos Capital Accused Of Unsuitable Alternative Investments

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 […]

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Investors Bring Securities Arbitration Claim Against Kalos Capital For Negligence

November 04, 2020  |   Posted by :   |   Alternative Investments, Breach of Fiduciary Duty, Direct Participation Programs, Failure To Supervise, Securities Arbitration Claims   |   Comments Off on Investors Bring Securities Arbitration Claim Against Kalos Capital For Negligence

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 […]

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Kalos Capital Target Of Unsuitable Real Estate Securities Recommendations

June 23, 2020  |   Posted by :   |   Direct Participation Programs, Non-traded REITs, Securities Arbitration Claims   |   Comments Off on Kalos Capital Target Of Unsuitable Real Estate Securities Recommendations

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 […]

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Kalos Sued By Investors Over Alternative Investments

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 […]

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Investors Sue Kalos Capital For Breach Of Contract

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 […]

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Kalos Capital Sanctioned For Bad Alternative Investments

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 […]

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Customer Accuses Kalos Of Real Estate Securities Fraud

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 […]

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Kalos Capital Sued In Arbitration For Unsuitability

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 […]

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