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 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.
Pending customer disputes for former customers of Chris Hartman include:
- FINRA case 23-00452-a customer of The Kelt Group (former employer of Hartman) and Kovack Securities, Inc. alleges that they were sold unsuitable REITs and have suffered an unspecified damages amount.
- FINRA case 22-02885- a Kovack Securities, Inc. customer alleges unsuitability, failure to supervise and inadequate due diligence regarding the sale of a private placement and is seeking damages of $500,000.
- FINRA case 22-02370, customer of Kovack Securities, Inc. alleges that she was sold an unsuitable investment and that KSI did not conduct thorough due diligence and supervision of the sale. A damage amount is not specified.
Hartman is not currently registered with any broker dealer. He was last employed by Kovack Securities, Inc. from 5/2017 to 4/2023. Before that time he was with The Kelt Group from 5/2010 to 5/2017 .
If you have losses in an account that was handled by Chris “Kit” Hartman, contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
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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