Justine Tobin Investigation June 2023 – Charlotte, NC According to publicly available records Justine Tobin, of Tobin & Company Securities , discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreChris “Kit” Hartman Investigation June 2023 – Ft Lauderdale, FL According to publicly available records Chris “Kit” Hartman, a stockbroker previously employed by Kovack Securities, discloses 3 pending customer disputes. The…
read moreFebruary 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya , a former stock broker who last worked for Kovack Securities, Inc. , disclose a regulatory event resulting in a bar from the…
read moreUPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer, was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…
read moreMay 2017- Santa Barbara, CA According to publicly available records Jason B. Skyler (CRD#4634466) , a stockbroker currently registered with Kovack Securities, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreMay 2017 – Beaumont, Texas Two elderly former customers of LPL Financial have filed a class action lawsuit against LPL Financial and their former broker Jason N. Anderson seeking damages current…
read moreFebruary 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) , a former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…
read moreJanuary 2017-Sanford, FL According to publicly available records Andrew R. Scheirer, II (CRD# 4256666) , a stockbroker currently employed by Kovack Securities , discloses two prior finalized customer disputes and a separation from employment after…
read moreJanuary 2017-Altamonte Springs, FL According to publicly available records Ronald A. Christopher, Jr. (CRD# 2892530) , a stockbroker currently employed by Kovack Securities , discloses a pending customer dispute. The Financial Industry Regulatory Authority…
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