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January 2024 – Clearwater, FL According to publicly available records William B. Gordon (CRD# 2127800) , a registered stockbroker currently employed by Kovack Securities disclose a prior regulatory event and 12 prior…
read moreLast Updated: September 2023 (Pagosa Springs, CO) Devika Kamboh Investigation Summary Here’s what you need to know about Pagosa Springs, CO, stockbroker Devika Kamboh: Name: Mr. Devika Kamboh Current Employer:…
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 moreKovack 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 moreLast Updated: November 2023 (Punta Gorda, FL) Gerald O’Halloran Investigation Summary Here’s what you need to know about Punta Gorda, FL, stockbroker Gerald O’Halloran: Name: Mr. Gerald James O’Halloran 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…
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