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 securities industry, a pending felony criminal charge and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 11/ 2018, Dulya was permanently barred from the securities industry for failing to respond to FINRA request for information in connection with an investigation.
In February 2018, felony charges of third-degree grand theft of a person 65 years of age or older were brought against Dulya in Circuit Court for the 19th Judicial Circuit of the State of Florida, Port St. Lucie County. Formal charges include exploitation of an elderly or disabled adult- less than $10,000. This case is currently pending.
In October 2017 Kovack Securities, Inc. terminated Dulya’s employment as a result of allegations that a “client gave money to registered representative”.
Dulya worked for Kovack Securities, Inc. from November of 2002 to October of 2017. She was with Pro-Integrity Securities and Sunpoint Securities before that time.
Dulya discloses and affiliation with Port St. Lucie Investment Services.
If you have problems in an account handled by Rita Marie Dulya call for a no charge consultation .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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