DID DAVID SCOTT MIROLLI CAUSE YOU INVESTMENT LOSSES?

David Scott Mirolli Of Kalos Capital, Inc. And Formerly Triad Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is David S. Mirolli with Kalos Capital, Inc.?

David Mirolli (CRD #5116067) who is currently registered with Kalos Capital, Inc. and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., David Mirolli was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Kalos Capital, Inc. and Triad Advisors, LLC Broker Misconduct

In his career, David Mirolli has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of David Mirolli’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Mirolli’s current employer Kalos Capital, Inc. and former employer, Triad Advisors, LLC for investment losses caused by his alleged misconduct.

Allegations Against David Mirolli

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Customer alleged that David Mirolli failed to conduct reasonable due diligence and recommended investment strategy that was speculative and involved unsuitable securities recommendations in GPB Capital Holdings private placements.
  • Multiple customers alleged in a single arbitration complaint that David Mirolli engage in unsuitable investment recommendations and unsuitable strategy of investing in alternative investments sponsored by GPB Capital Holdings, LLC.
  • Claimant alleged failure to conduct reasonable due diligence of an offering by GPB Capital Holdings prior to recommending that the client invest in its sponsored private placement investments.

David Mirolli Red Flags & Your Rights As An Investor

Of course, David Mirolli did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Mirolli at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Mirolli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. and Triad Advisors, LLC also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Kalos Capital, Inc.

If you have questions about Kalos Capital, Inc. and/or David Mirolli and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.