Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Howard Dennis Kavinsky (also known as Howard Kavinsky) [CRD#: 5881623, Chicago, Illinois].
Howard Kavinsky worked for several firms during his 13-year career in the securities industry. He worked for Hornor, Townsend & Kent, Inc. from March 2011 to March 2015, Morgan Stanley from April 2015 to July 2018, David A. Noyes & Company from August 2018 to July 2019, National Securities Corporation from July 2019 to July 2022, and B. Riley Wealth Management from July 2022 to June 2024. Most recently, he joined Supreme Alliance LLC in September 2024.
Recent disclosures reveal concerns about Kavinsky’s conduct, including allegations of client disputes, regulatory violations, and employment termination under contentious circumstances.
On June 22, 2024, clients of B. Riley Wealth Management filed a written complaint against Howard Kavinsky. The allegations include failure to provide accurate account statements, missing funds from client accounts, and misleading information about account balances. This complaint pertains to variable annuity products, with damages requested totaling $760,000. The matter is currently pending resolution.
Howard Kavinsky was discharged from B. Riley Wealth Management on May 16, 2024. The firm alleged that Kavinsky failed to follow procedures related to the creation and use of consolidated client reports, provided untrue responses on annual compliance questionnaires, misrepresented clients' account values, and created fabricated client statements purportedly from a clearing firm. Additionally, the firm cited his failure to forward potential client grievances for further review as grounds for termination.
If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group takes cases on a contingency basis, advances all costs upfront, and helps investors nationwide recover losses from sales practice violations, though outcomes cannot be guaranteed. Kavinsky and the firms he worked for deny accusations of sales practice violations.
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.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
Phone:
Fax: 1-954-760-6553
Email: [email protected]