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Broker Complaints: Kalos Capital, Inc. (CRD# 44337)

The Securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Kalos Capital, Inc., or any of its brokers.

Kalos Capital, Inc. is an independent broker-dealer firm based in Alpharetta, Georgia. Kalos Capital, Inc. was incorporated under the laws of Georgia in 1997. Kalos Capital, Inc. is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Kalos Capital, Inc. is registered in 51 U.S. states and territories. Kalos Capital, Inc. has over 100 registered representatives throughout the nation. The CEO of Kalos Capital, Inc. is Daniel L. Wildermuth.

On March 14, 2012 Kalos Capital, Inc. entered into an AWC with FINRA whereby the firm was fined $45,000 for failing to establish, maintain and enforce a supervisory system designed to ensure the review and retention of emails between its brokers and customers.  Specifically, FINRA alleged that Kalos Capital, Inc. allowed brokers who conducted business outside of Kalos Capital, Inc. to use personal outside email addresses, instead of Kalos Capital, Inc. issued email addresses.  FINRA also alleged that Kalos Capital, Inc. had no system in place to monitor these outside email addresses and relied on its brokers to submit copies of their outside emails to Kalos Capital, Inc. for review.

If you are an investor and have complaints regarding Kalos Capital, Inc., call the law office of Fitapelli Kurta now. You may be entitled to full recovery of your losses. The attorneys at Fitapelli Kurta prosecute cases on behalf of investors like you who have lost money as a result of unsuitable investments. These cases are taken on a contingency fee basis only, which means our firm will not receive any compensation whatsoever unless and until you recover money.

Cases are filed with the Financial Industry Regulatory Authority (FINRA) and will submit to arbitration. Fitapelli Kurta has filed hundreds of cases before FINRA and has recovered millions on behalf of investors who have fallen victim to broker misconduct. Do not delay. Call 877 – 238 – 4175 to speak directly to an attorney and further discuss the merits of your case.

Our consultations are always free.

Call 877 – 238 – 4175 now.