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DID GENE CLAY ESPLIN CAUSE YOU INVESTMENT LOSSES?

Gene Esplin Formerly With Kalos Capital Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Gene Esplin formerly with Kalos Capital Inc.?

Gene Esplin (CRD #3133447),  who was formerly registered with Kalos Capital Inc. and located in Postello Idaho, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kalos Capital Inc., Gene Esplin was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gene Esplin Customer Complaints

Gene Esplin has been the subject of 2 customer complaints that we know about to recover investment losses. And of the customer complaints was settled by Triad Advisors and Kalos Capital and the other was denied by Kalos Capital and to date, the customer withdrew the complaint.

Allegations Against Gene Esplin

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

  • Unsuitable investment recommendations in breach of fiduciary duty.
  • Unsuitable alternative investment recommendations involving REITs.

Gene Esplin Red Flags & Your Rights As An Investor

Of course, Gene Esplin 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 Gene Esplin, formerly at Kalos Capital Inc., on alert to review carefully the activity and performance of their accounts and question whether Gene Esplin 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 firm’s 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 Gene Esplin

If you have questions about Kalos Capital Inc. and/or Gene Esplin 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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