Articles Tagged with Kovack Securities

Rita DulyaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2017 indicate that former Florida-based Kovack Securities broker/adviser Rita Dulya was recently terminated from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Dulya (CRD# 2050796).

Rita Dulya has spent 27 years in the securities industry and was most recently registered with Kovack Securities in Port St. Lucie, Florida (2002-2017). Previous registrations include Pro-Integrity Securities in Longview, Texas (1999-2002); SunPoint Securities in Longview, Texas (1996-1999); Great Western Financial Securities Corporation in Northridge, California (1990-1996); and FundTrust Investment Company (1990-1992). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 21, 1991; Series 7 (General Securities Representative Examination), which she obtained on May 19, 1990; and Series 24 (General Securities Principal Examination), which she obtained on November 11, 1999. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one pending customer complaint and one denied customer complaint, and was recently discharged from her former employer.

Jason SkylerPublic 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.

Constantine NicholsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 8, 2017 indicate that Florida-based Kovack Securities broker Constantine Nicholson has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nicholson (CRD# 347737).

Constantine Nicholson has spent 46 years in the securities industry and has been registered with Kovack Securities in Winter Park, Florida since June 2017. Previous registrations include Capital Guardian in Winter Park, Florida; Moors & Cabot in Winter Park, Florida; AdVest in Hartford, Connecticut; Prudential Securities in New York, New York; Merrill Lynch, and Vas-Co Money Management. He is a registered broker with seven US states: Connecticut, Florida, Iowa, North Dakota, Pennsylvania, South Carolina, and Texas.

According to his BrokerCheck report, he has received five customer complaints.

Mike Milne Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Florida-based Kovack Securities broker/adviser Mike Milne has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Milne (CRD# 1842992).

Mike Milne has spent 26 years in the securities industry and was most recently registered with Kovack Securities in Ocala, Florida (2011-2015). Previous registrations include BrokersXPress in Ocala, Florida; Raymond James Financial Services in Ocala, Florida; Raymond James & Associates in Gainesville, Florida; SunTrust Securities in Atlanta, Georgia; Banc of America Investment Services in Boston, Massachusetts; Barnett Investments in Jacksonville, Florida; JMC Financial Corporation in Boston, Massachusetts; and PFS Investments in Duluth, Georgia. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and was discharged from a former employer in connection to alleged rule violations.

Dennis CoralPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former Florida-based Kovack Securities broker/adviser Dennis Coral has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coral (CRD# 4561718).

Dennis Coral has spent fourteen years in the securities industry and was most recently registered with Kovack Securities in Fort Lauderdale, Florida (2017). Previous registrations include Suntrust Investment Services in Fort Lauderdale, Florida; Morgan Stanley in Aventura, Florida; Morgan Stanley & Company in Aventura, Florida; Morgan Stanley DW in Aventura, Florida; Ladenburg Thalmann & Company in New York, New York; and Ladenburg Capital Management in Bethpage, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 31 (Futures Managed Funds Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Dennis Coral has been sanctioned and suspended by FINRA.

Ronald Christopher

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that Florida-based Kovack Securities broker/adviser Ronald Christopher has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Christopher (CRD# 2892530).

Ronald Christopher has spent nineteen years in the securities industry and has been registered with Kovack Securities in Altamonte Springs, Florida since 2014. Previous registrations include Merrimac Corporate Securities, which has been expelled by FINRA, in Altamonte Springs, Florida; Allen Douglas Securities in Winter Park, Florida; MetLife Securities in Springfield, Massachusetts; Metropolitan Life Insurance in New York, New York; and Southern Financial Group in Columbia, South Carolina. He is a registered broker and investment adviser with eight US states and territories: Delaware, Florida, Nebraska, New York, Ohio, Pennsylvania, Texas and Virginia. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination).

According to his BrokerCheck report, Ronald Christopher has received one pending customer dispute.

Barbara RalstonPublic records published by the Financial Industry Regulatory Authority (FINRA) on January 18, 2017 indicate that California-based Kovack Securities broker/adviser Barbara Ralston has been the subject of several customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Ralston (CRD# 1087950).

Barbara Ralston has spent 29 years in the securities industry and has been registered with Kovack Securities in Santa Barbara, California since November 2016. She has also been registered with TKG Financial in Santa Barbara, California since 2005. Previous registrations include First Wall Street in La Jolla, California; Painewebber in Weehawken, New Jersey; and Prudential Securities in New York, New York. She is a registered broker and investment adviser in California.

According to her BrokerCheck report, Barbara Ralston has received seven customer complaints.

Eduardo DiazPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 31, 2016 indicate that former Florida-based Kovack Securities broker Eduardo Diaz has been permanently barred from acting as a broker and an investment adviser, or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Diaz (CRD# 1621873).

Eduardo Diaz has spent 25 years in the securities industry and was most recently registered with Kovack Securities in Fort Lauderdale, Florida (2012-2013). Previous registrations include Next Financial Group in Biloxi, Mississippi; AIG Financial Advisors in Biloxi, Mississippi; SunAmerica Securities in Phoenix, Arizona; and American Express Financial Advisors in Minneapolis, Minnesota. He is currently not registered with any state or firm.

According to his BrokerCheck report, Eduardo Diaz has received three regulatory sanctions, one customer complaint, and one criminal disclosure.

Douglas StuderPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 14, 2016 indicate that former Florida-based Kovack Securities broker Douglas Studer has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Studer (CRD# 4440047).

Douglas Studer has spent fourteen years in the securities industry and was most recently registered with Kovack Securities in Fort Lauderdale, Florida (2015-2016). Previous registrations include National Securities in Aventura, Florida; Prime Capital Services in Tampa, Florida; VSR Financial Services in Apollo Beach, Florida; H&R Block Financial Advisors in New Port Richey, Florida; and Prime Capital Services in Port Richey, Florida. He is currently not registered with any state or firm.

According to his BrokerCheck report, Douglas Studer has received one customer complaint and one regulatory sanction.

 Daniel Lodes Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Florida-based Kovack Securities broker/adviser Daniel Lodes has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lodes (CRD# 4380342).

Daniel Lodes has spent fifteen years in the securities industry and has been registered with Kovack Securities in Punta Gorda, Florida since 2013. Previous registrations include JW Cole Financial in Punta Gorda, Florida; NFP Securities in Punta Gorda, Florida; SII Investments in Appleton, Wisconsin; and Salomon Smith Barney in New York, New York. He is a registered broker and investment adviser with seventeen US states and territories: Alaska, Florida, Georgia, Indiana, Kentucky, Massachusetts, Michigan, Minnesota, Montana, New Jersey, New York, North Carolina, Oklahoma, South Carolina, Tennessee, Virginia, and Wisconsin.

According to his BrokerCheck report, Daniel Lodes has received three customer complaints.