fbpx

Kovack Securities

  • ER
  • No Comments

Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA
Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA 150 150 ER

Chris “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 more

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges
Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 150 150 Rex Securities Law

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

read more

Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL
Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL 150 150 Rex Securities Law

Gerald J. O’Halloran Investigation   March 2022-Punta Gorda, Florida The FINRA records of  Gerald J. O’Halloran,  a  previously registered stock broker who is currently employed by Union Capital Company and who was…

read more

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…

read more

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…

read more

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…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com