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Kalos Capital

David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA

David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA 150 150 Rex Securities Law

November 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…

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Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC

Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC 150 150 Rex Securities Law

October 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…

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Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX

Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX 150 150 Rex Securities Law

June 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…

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Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX

Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX 150 150 Rex Securities Law

April 2020 -Addison, TX The FINRA records of Jon M. Reppert  , a former stockbroker  who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…

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Joseph Roop-Former Kalos Capital Broker-Discloses 6 Prior Customer Disputes & 1 Pending Customer Dispute-Belmont, NC

Joseph Roop-Former Kalos Capital Broker-Discloses 6 Prior Customer Disputes & 1 Pending Customer Dispute-Belmont, NC 150 150 Rex Securities Law

February- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a broker currently employed by  Dempsey Lord Smith,  disclose  6 prior customer disputes and 1 pending customer dispute. The…

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Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ 150 150 Rex Securities Law

February 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…

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Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA

Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 150 150 Rex Securities Law

May 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…

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Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI

Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI 150 150 Rex Securities Law

May 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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Mark Trewitt-VFG Securities Broker -Discloses Customer Disputes-Plano, TX

Mark Trewitt-VFG Securities Broker -Discloses Customer Disputes-Plano, TX 150 150 Rex Securities Law

Plano, Texas JUNE 2017 UPDATE–Mark Trewitt discloses two additional customer disputes: FINRA Case 17-0669- a customer of VFG Securities alleges damages of $300,000 for an overconcentration of unsuitable alternative investments, including…

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