Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 12, 2017 indicate that California-based Kovack Securities broker Jason Skyler has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Skyler (CRD# 4634466).
Jason Skyler has spent 13 years in the securities industry and has been registered with Kovack Securities in Santa Barbara, California since May 2017. Previous registrations include TKG Financial in Santa Barbara, California (2006-2017) and Citigroup Global Markets in New York, New York (2003-2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is registered as a broker in California.
According to his BrokerCheck report, he has received one pending customer complaint.
In 2016 a customer alleged Jason Skyler, while employed at TKG Financial, executed unauthorized trades and failed to follow client investment instructions in connections to common and preferred stock investments and over-the-counter products. The customer is seeking unspecified damages in the pending complaint.
According to FINRA rules and federal securities law, financial professionals like Jason Skyler may not effect transactions without a customer’s permission or authorization. There are certain exceptions, including discretionary accounts and, in some circumstances, margin accounts. Financial firms and professions who participate in unauthorized trading may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you or someone you know has lost money investing with Jason Skyler, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.