Articles Tagged with South Dakota

John SchwanPublicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on February 18, 2016 indicate that South Dakota-based Kovack Securities broker/adviser John Schwan has been suspended for two months and fined $20,000. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schwan (CRD# 1421895).

John Schwan has spent 29 years in the securities industry and has been registered with Kovack Securities in Aberdeen, South Dakota since 2010. Previous registrations include Cambridge Investment Research in Aberdeen, South Dakota; Cap Pro Brokerage Services in Columbus, Ohio; FFP Securities in Chesterfield, Missouri; and NYLife Securities in New York, New York. He is a registered broker and investment adviser 33 US states and territories. Continue Reading

Kelly HosekThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding South Dakota-based Raymond James broker/adviser Kelly Hosek (CRD# 3268033).

Kelly Hosek has spent fifteen years in the securities industry and has been registered with Raymond James Financial Services in Sioux Falls, South Dakota since 2009. Previous registrations include Raymond James Financial Services in Yankton, South Dakota (2009); Wachovia Securities in Sioux Falls, South Dakota (2008-2009); AG Edwards & Sons in Sioux Falls, South Dakota (2003-2008); and Edward Jones in St. Louis, Missouri (2000-2003). He is a registered broker and investment adviser in twelve US states and territories. Continue Reading

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