Investors have come forward with complaints about securities broker Thomas Michael Rauchegger (CRD: 5156496, Maitland, Florida). Evidently, the securities broker, who worked for Kalos Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalos Capital Inc. clients allege that Rauchegger made unsuitable recommendations. For more on these disclosures about Rauchegger, see below.
Also, a client of Kalos Capital Inc. contested Thomas Rauchegger’s sales practices by filing FINRA Arbitration: 20-03598. Allegedly, Rauchegger gave unsuitable advice. It appears that Rauchegger caused the client to sustain damages on BDCs. Therefore, Kalos Capital Inc. opted to settle the matter on May 6, 2022, by compensating the client in the amount of $25,000.
Particularly, a client of Kalos Capital Inc. contested Thomas Rauchegger’s sales practices by filing FINRA Arbitration: 20-02473. Allegedly, Rauchegger made unsuitable recommendations. It appears that Rauchegger caused the client to sustain damages on real estate securities. Therefore, Kalos Capital Inc. opted to settle the matter on May 6, 2022, by compensating the client in the amount of $40,000.
Supposedly, on November 1, 2021, a Kalos Capital Inc. client filed FINRA Arbitration: 21-02629 about Thomas Rauchegger. Namely, the client alleged that Rauchegger gave unsuitable advice. Because of this, the client allegedly sustained damages on alternative investments, including BDCs. Therefore, the client requested compensation from Kalos Capital Inc. or Rauchegger. Evidently, this arbitration is pending a resolution.
Also, a client of Kalos Capital Inc. contested Thomas Rauchegger’s sales practices by filing FINRA Arbitration: 20-02408. Allegedly, Rauchegger engaged in unsuitable trading. It appears that Rauchegger caused the client to sustain damages on BDCs and 1031 offerings. Therefore, Kalos Capital Inc. opted to settle the matter on July 7, 2021, by compensating the client in the amount of $20,000.
Rauchegger worked for Kalos Capital Inc. in Maitland, Florida, as a securities broker from January 6, 2012, to October 3, 2022.
Suffer damages because of Thomas Rauchegger? If you have, contact Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a possible recovery of your losses. Soreide Law Group, who has recovered money for investors across the United States, represents investors on a contingency fee basis and advances costs. Rauchegger and brokerage firms Rauchegger worked for deny any and all allegations of misconduct.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
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