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.
If you have sustained losses due to the your broker or financial advisor, call Soreide Law Group for a free consultation with an attorney on how to potentially recover your investment losses: 888-760-6552. We represent clients nationwide before FINRA.
Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]
Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]