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Kovack Securities

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 150 150 Rex Securities Law

February 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…

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Gerald O’Halloran-Former Kovack Securities Broker-Subject of Florida Securities Regulator Complaint-Punta Gorda, FL

Gerald O’Halloran-Former Kovack Securities Broker-Subject of Florida Securities Regulator Complaint-Punta Gorda, FL 150 150 Rex Securities Law

August 2018-Punta Gorda, Florida The FINRA records of  Gerald J. O’Halloran,  a  previously registered stock broker who was recently employed by  Kovack Securities ,  disclose that he was recently named in an administrative action…

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Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL 150 150 Rex Securities Law

UPDATE 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…

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Jason Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX

Jason Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Rex Securities Law

January 2018 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson, a…

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Jason Skyler – TKG Financial Broker- Discloses Pending Customer Dispute – Santa Barbara, CA

Jason Skyler – TKG Financial Broker- Discloses Pending Customer Dispute – Santa Barbara, CA 150 150 Rex Securities Law

May 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…

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Kovack Securities to Acquire TKG Financial

Kovack Securities to Acquire TKG Financial 150 150 Rex Securities Law

May 2017 Ft. Lauderdale-based Kovack Securities announced that they intend to acquire the assets of TKG Financial, Inc. Kovack Securities has about 400 advisors nationwide. TKG Financial,  based in Santa…

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Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Rex Securities Law

February 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…

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Gerald J. OHalloran- Kovack Securities Broker-Discloses Customer Disputes- Punta Gorda, FL

Gerald J. OHalloran- Kovack Securities Broker-Discloses Customer Disputes- Punta Gorda, FL 150 150 Rex Securities Law

See this for August 2018 update. O’Halloran subject of administrative complaint filed by Florida regulators.  January 2017-Punta Gorda, FL According to publicly available records Gerald J. OHalloran, (CRD# 1056697) ,  a  stockbroker…

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