Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that California-based Merrill Lynch broker/adviser John Kettman has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kettman (CRD# 2136900).
John Kettman has spent 26 years in the securities industry and has been registered with Merrill Lynch in San Jose, California since 2009. Previous registrations include Banc of America Investment Services in Saratoga, California (2004-2009); Morgan Stanley DW in Purchase, New York (1994-2004); Merrill Lynch in New York, New York (1991-1994); and FN Wolf & Company (1991). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 20, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 29, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on March 9, 1995; Series 7 (General Securities Representative Examination), which he obtained on May 31, 1991; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 20, 1997. He is a registered broker and investment adviser with 15 US states: Arizona, California, Colorado, Connecticut, Florida, Indiana, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Texas, and Washington.
According to his BrokerCheck report, he has received three customer complaints.
In 2017 a customer alleged John Kettman, while employed at Merrill lynch, executed unauthorized trades. The complaint settled for more than $167,300.
In 2000 a customer alleged John Kettman, while employed at Dean Witter Reynolds, did not advise him of the risk involved with a stock investment purchased in June 1996. The complaint settled for $40,000.
In 1999 a customer alleged John Kettman, while employed at Dean Witter Reynolds, made common law violations. The complaint settled for $150,000.
If you or someone you know has a complaint regarding John Kettman, call 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.