Daniel Ray Saur, of Dallas, Texas, a stockbroker currently registered with Kalos Capital, Inc., is the subject of a customer initiated investment related arbitration claim, in which the customer requested at least $500,000.00 in damages supported by allegations of the failure of due diligence to be conducted with respect to investments effected in the customer’s account; and unsuitable investment recommendations having been made to the customer concerning viatical settlements, real estate securities, and oil & gas investments. The customer alleged that Kalos Capital, Inc. failed to supervise Saur’s business activities. FINRA Arbitration No. 17-00046 (Jan. 12, 2017).

Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that a customer initiated investment related arbitration claim regarding Saur’s activities was resolved for $87,194.80 in damages based upon allegations that Saur, while associated with D.R. Saur Financial and Kalos Capital, Inc., effected unauthorized transactions relating to the customer’s purchase of unregistered viatical settlement products. FINRA Arbitration No. 15-02389 (Mar. 20, 2017).

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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