Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop, a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital, disclose…
read moreNovember 2020- Alpharetta, GA According to publicly available records, Kalos Capital, Inc. broker David Mirolli discloses a settled customer dispute and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreOctober 2020-Charlotte, NC According to publicly available records, Christopher Shaw (CRD#5011382), a stockbroker who was previously registered with Pruco Securities & Kalos Capital, discloses 3 pending customer disputes, a prior…
read moreJune 2020 -Abilene, TX The FINRA records of Dale Franklin Johnson , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreFebruary 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel , a stockbroker who is currently not registered and who previously was employed by Kalos Capital , disclose a currently pending…
read moreMay 2017-Great Falls, VA The FINRA records of Frederick P. Baerenz, a stockbroker who is currently registered with Kalos Capital disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…
read moreMay 2017-Plymouth, MI The FINRA records of Curtis L. Whipple, a stockbroker who is currently registered with Kalos Capital disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…
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