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…
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 moreMay 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…
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…
read moreApril 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…
read moreUPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record. FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…
read moreSeptember 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…
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