Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 25, 2016 indicate that former New Mexico-based Foothill Securities broker Kevin Hudak has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The experienced attorneys at Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hudak (CRD# 4439153).
Kevin Hudak has spent thirteen years in the securities industry and was most recently registered with Foothill Securities in Albuquerque, New Mexico (2014-2015). He was previously registered with Cetera Advisor Network in Albuquerque, New Mexico (2006-2014) and PFS Investments in Duluth, Georgia (2001-2015). He is currently not registered with any state or firm.
According to his BrokerCheck report, Kevin Hudak has received one FINRA sanction.
In November 2016 FINRA sanctioned Kevin Hudak following allegations he “submitted non-solicitation forms to his member firm that had non-authentic customer signatures.” According to FINRA’s findings: “these non-solicitation forms were required by Hudak’s firm in order to process low-priced securities transactions for his customers. Hudak falsified these non-solicitation forms by having customers sign blank forms, which he then photocopied and reused for future low-priced securities transactions.” FINRA also found that Mr. Hudak “provided false and misleading testimony to FINRA regarding the non-solicitation forms by repeatedly denying that he had asked customers to sign blank non-solicitation forms and that he copied customer signatures for use as if they were authentic.” He was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
If you or someone you know has lost money investing with Kevin Hudak, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.