Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Texas-based UBS Financial Services broker/adviser Alfred Kovacs has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kovacs (CRD# 1338713).
Alfred Kovacs has spent 31 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2007. Previous registrations include Linsco/Private Ledger Corporation in Houston, Texas; Raymond James Financial & Associates in St. Petersburg, Florida; Harris Webb & Garrison; Sun Investment Services Company in Wellesley Hills, Massachusetts; Green Hill Financial Services Corporation; US Advisors; Integrated Resources Equity Corporation; and Financial Planners Equity. He is a registered broker and investment adviser with 23 US states and territories.
According to his BrokerCheck report, Alfred Kovacs has received four customer complaints and one pending customer complaint.
In 2014, a customer alleged Alfred Kovacs, while employed at UBS Financial Services, executed unsuitable and unauthorized transactions. The complaint settled in June 2016 for $675,000.
In 2009, a customer alleged Alfred Kovacs, while employed at UBS Financial Services, recommended unsuitable investments in structured products. The complaint settled in 2010 for $25,000.
In 2002, a customer alleged Alfred Kovacs, while employed at Raymond James & Associates, recommended an unsuitable investment. The complaint settled in 2003 for $13,000.
In 1999, a customer alleged Alfred Kovacs, while employed at Harris Webb & Garrison, failed to follow instructions and did not complete an order. The customer is seeking $300,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding Alfred Kovacs, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.