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Kalos Capital, Inc. Broker Gene Esplin Investment Loss Options

Posted on Monday, July 20th, 2020 at 7:55 pm    

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Were you the victim of Kalos Capital, Inc. broker Gene Esplin (CRD# 3133447)? Esplin has been registered with Kalos Capital, Inc. in Pocatello, Idaho from 2015 to 2019.

Esplin has been the subject of one customer complaint, according to his CRD report:

December 2019. “Claimants allege that alternative investments purchased at Triad during the Representative’s association with respondent Triad (2008-2015) and thereafter during the Representative’s association with respondent Kalos Capital (2015-2019) were unsuitable.” The customer is seeking $1 million in damages and the case is currently pending. The complaint took place while Esplin was registered with Triad Advisors LLC and Kalos Capital Inc. and was regarding direct investments and real estate securities. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Kalos Capital, Inc. may be liable for investment or other losses suffered by Esplin’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.