Kenneth William Schulz (CRD #4605235, Tomahawk, Wisconsin)
was barred by FINRA for allegedly directing a registered assistant to impersonate Schulz's former clients. The assistant was told to make phone calls to Schulz's former firm and request that the client's accounts be liquidated, then they could invest with Schulz at his new firm.
FINRA's findings stated that the registered assistant impersonated the clients in phone calls to his former firm. This resulted in Schulz's former firm liquidating all of the securities positions the clients were holding. The clients had not authorized Schulz or his assistant to request that Schulz’s former firm liquidate their accounts. These clients were not aware that their accounts were liquidated until after the transactions had occurred.
Also, FINRA's findings stated that Ken Schulz refused to appear for FINRA on-the-record testimony.
(FINRA Case #2013037650601)
Ken Schulz was previously registered with the following securities firm(s):
05/2013 - 07/2013 COMMONWEALTH FINANCIAL NETWORK (CRD# 8032) - TOMAHAWK, WI
01/2003 - 05/2013 LPL FINANCIAL LLC (CRD# 6413) - TOMAHAWK, WI
The summation of information obtained from FINRA’s website under "Disciplinary and Other FINRA Actions, November 2014," ends here.
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