Former broker DOUGLAS W. STUDER (CRD# 4440047)
Alternate Names: DOUG STUDER
has been barred recently by FINRA for refusing to appear for on-the-record testimony as requested by FINRA. Studer was allegedly involved in an investigation into whether he had violated his employing member firm's policy by being named in an elderly client's estate documents to inherit the client's waterfront condominium. Douglas W. Studer was named in estate documents to inherit his 91-year-old client's waterfront condominium in Fort Lauderdale, Florida.
FINRA began investigating the former broker in 2015. On Aug. 2, 2016, Doug Studer was asked to give on-the-record testimony but he refused to appear.
Douglas W. Studer has been registered in the securities industry for 15 years. FINRA has permanently barred Studer from acting as a broker or otherwise associating with firms that sell securities to the public. He was terminated from Kovack Securities in Ft. Lauderdale in July of 2016. According to FINRA’s BrokerCheck, he has two closed customer disputes. The most recent firms Studer was registered with are listed below:
10/2015 - 07/2016 KOVACK SECURITIES INC. - Fort Lauderdale, FL
11/2013 - 11/2015 NATIONAL SECURITIES CORPORATION - AVENTURA, FL
03/2009 - 11/2013 PRIME CAPITAL SERVICES, INC. - TAMPA, FL
Soreide Law Group, based in Pompano Beach, Florida, represents clients nationwide before FINRA. If you were a client of Douglas W. Studer formerly of Kovack Securities of Ft. Lauderdale, Florida, and you experienced losses due to his actions or recommendations, call and speak to a lawyer at no cost regarding the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group is investigating potential investor claims involving possible sales practice violations by securities brokers and financial advisors related to recommendations of Spring Hills Holdings investments. Spring Hills Holdings is a senior care and healthcare-related private investment that may have exposed investors to substantial risks, including illiquidity and possible loss of principal. Investors should […]
Soreide Law Group is examining potential investor claims involving recommendations of NexPoint Capital Inc. BDC, a publicly registered non-traded business development company sponsored by NexPoint Advisors L.P., following continued declines in the investment’s net asset value (“NAV”), limited liquidity opportunities, and ongoing concerns about investor losses. NexPoint Capital Inc. BDC was marketed as an income-focused […]
Soreide Law Group is investigating potential investor claims involving KKR Real Estate Finance Trust Inc. (“KREF”) following reports of substantial losses, increased credit reserves, troubled commercial real estate loans, dividend reductions, and declining shareholder value tied to the company’s mortgage REIT business. KREF is a publicly traded commercial mortgage real estate investment trust sponsored by […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com