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Category: Kalos Capital

Financial Advisor Andrew Topka Has Six Disclosed Customer Complaints

Andrew Topka (CRD#: 5070107) was a dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2006 and previously worked for Kalos Capital, Inc.; Berthel, Fisher & Company Financial Services, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Did You Purchase GPB Capital Holdings From Former Kalos Capital Broker, Joseph Roop?

Josep Roop (CRD # 2774470) is a Financial Advisor at Dempsey Lord Smith, LLC. In Belmont, NC. Josep Roop has been in the securities industry since 1996 and previously worked at six different brokerage firms including Kalos Capital and Kalos Management (2009-2019), Wachovia Securities, LLC (2008-2009), and Bank of America Investment Servcies, Inc. (2204-2008). Josep […]

Did You Purchase GPB Capital Holdings From Kalos Capital Financial Advisor, Kristian Finfrock?

Kristian Finfrock (CRD # 5421676) is a Financial Advisor at Kalos Capital, Inc. in Evansville, Wisconsin.  Kristian Finfrock has been in the securities industry since 2007 and previously worked at Metlife Securities. As previously reported on this blog, the Wolper Law Firm is currently representing investors across the country in the recovery of their investment […]

Former Kalos Capital And Current Berthel Fisher Broker, William Sines, Has Pending Customer Complaint Involving The Sale Of A REIT

William Sines (CRD #2190586) was a former Financial Advisor at Kalos Capital in Seminole, Florida. William Sines currently works for Berthel Fisher & Co. William Sines has been in the securities industry since the early 1990s and previously worked for SII Investments and Pruco Securities Corp. According to publicly available records released by the Financial […]

The Wolper Law Firm Has Filed Three Separate Arbitration Claims Against Kalos Capital Based Upon the Sale Of GPB Capital Holdings By Its Former Financial Advisor, Darren Kubiak

Darren Kubiak (CRD # 1239086) is a former Financial Advisor at Kalos Capital, Inc. in Lawrenceville, GA.  Darren Kubiak has been in the securities industry since 1984 and previously worked at Questar Capital, Signator Investors, Inc., Washington Square Securities, Inc., Hornor, Townsend & Kent and First Investors Corporation. The Wolper Law Firm has been retained […]

FINRA Arbitration Filed Against Kalos Capital And Joshua Stivers Regarding The Sale Of GPB Capital Holdings Limited Partnerships

Joshua Stivers (CRD # 5708565) is a Financial Advisor at Kalos Capital in Austin, Texas.  Joshua Stivers has been in the securities industry since 2014 and previously worked at GF Investment Services.  According to publicly available records, an arbitration was filed before the Financial Industry Regulatory Authority (FINRA) against Kalos Capital and Joshua Stivers arising […]

Kalos Capital Financial Advisor, Eric Weschke, Has Thirteen Customer Complaints

Eric Weschke is a Financial Advisor at Kalos Capital, Inc. in Setauket, NY.  Eric Weschke has been in the securities industry since 1994 and previously worked at Harrison Douglas, Alternative Wealth Strategies, Equity Services, Self Trading Securities and Tasin & Company. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Eric […]