DID ANDREW W. TOPKA CAUSE YOU INVESTMENT LOSSES?
Andrew Topka Formerly With Kalos Capital, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct
Who is Andrew Topka formerly with Kalos Capital, Inc.?
Andrew Topka (CRD #5070107) who was formerly registered with Kalos Capital, Inc. and located in Mount Pleasant, South Carolina is a subject of one of our many securities industry sales practice abuse investigations.
Andrew Topka Customer Complaints
Andrew Topka has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Four of Andrew Topka’s 5 customer complaints were settled in favor of investors. One of Andrew Topka’s customer complaints was denied and, to date, the customer has not taken any further action.
Allegations Against Andrew Topka
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Misrepresentations about a GPB private placement investment.
- Breach of fiduciary duty unsuitable investment recommendations and overconcentration in alternative investments.
- Failure to conduct reasonable due diligence in connection with an unsuitable recommendation of GPB Capital Holdings private placement investment.
- Performance-based misrepresentations
- Unsuitable investment recommendations of risky securities.
Andrew Topka Red Flags & Your Rights As An Investor
Of course, Andrew Topka 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 Andrew Topka at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Topka has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. also raises questions about the brokerage firms’ 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. Due To Andrew Topka
If you have questions about Kalos Capital, Inc. and/or Andrew Topka 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.