National investment loss lawyers KlaymanToskes is investigating broker Kalomira Zangoulos (CRD# 4451124) of Osaic Services, Inc. (f/k/a SagePoint Financial, Inc.), who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that she falsified a personal bank account statement she submitted to her member firm pursuant to a heightened supervision plan (HSP).
According to FINRA BrokerCheck, Kalomira Zangoulos was registered with Osaic Services, Inc. (f/k/a SagePoint Financial, Inc.) from 2015 to April 4, 2023, when Osaic filed a Form U5 for Zangoulos reporting that Zangoulos had voluntarily terminated her association with the firm. In November 2014, J.P. Morgan Securities filed a Form U5 for Zangoulos disclosing that Zangoulos voluntarily terminated her association with the firm during an internal review by the firm’s bank affiliate into whether Zangoulos violated the bank’s policy governing personal finances.
FINRA found that when Zangoulos was associated with Osaic, it conditioned her continued association on compliance with an HSP requiring her to, among other things, periodically submit copies of her personal bank account statements to the firm. Pursuant to the HSP, Zangoulos allegedly provided the firm an account statement for her personal bank account that she had altered to remove certain transactions, including charges for insufficient funds and a cash withdrawal at a casino. Zangoulos never informed the firm that she had altered the statement.
Investors that suffered losses with broker Kalomira Zangoulos are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Kalomira Zangoulos:
If you suffered losses with broker Kalomira Zangoulos, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Kalomira Zangoulos. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as Osaic Services, Inc. (f/k/a SagePoint Financial, Inc.) are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Kalomira Zangoulos, or have concerns regarding your investment portfolio at Osaic Services, Inc. (f/k/a SagePoint Financial, Inc.), contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.