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 has filed a FINRA arbitration on behalf of our clients (Claimants) against: GREAT POINT CAPITAL, LLC, (GREAT POINT) and their former registered representative, SUSAN JANE GITT (SUSAN J GITT, SUSAN JANE SCHULTZ) (Respondents). The Claimants are retired and live in Florida. The lawsuit states that the Claimants were looking for conservative income-generating […]
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
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