Kalomira Zangoulos Suspended by FINRA
Kalomira Zangoulos (CRD #: 4451124) has been suspended by FINRA. She also voluntarily terminated her association with SagePoint. This is according to her BrokerCheck record, accessed on July 31, 2024. Keep reading if you have questions regarding her alleged conduct.
Regulatory Action
On June 28, 2024, Kalomira Zangoulos entered into an Acceptance, Waiver, and Consent agreement (AWC), in which she consented to the findings that she falsified a personal bank account statement she submitted to her member firm pursuant to a heightened supervision plan. She allegedly altered the bank account statement to remove certain transactions, including charges for insufficient funds and a cash withdrawal at a casino.
As part of the terms of her AWC, Kalomira Zangoulos consented to a $5,000 fine and a two-month suspension.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to comply with a heightened supervision plan may violate this rule.
Employment Separation
Kalomira Zangoulos voluntarily resigned from JP Morgan Chase Bank following allegations that she failed to satisfy the firm’s request regarding her personal cash deposits made below the currency transaction report.
Investor Disputes
There are five investor disputes on her record.
Background Information
Kalomira Zangoulos has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
During her 21 years of experience, Kalomira Zangoulos has registered with four firms:
- SagePoint Financial (CRD #: 133763)
- JP Morgan Securities (CRD #: 79)
- Chase Investment Services (CRD #: 25574)
- Banc One Securities Corporation (CRD #: 16999)
Kurta Law Can Help
If you have worked with Kalomira Zangoulos and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.