Investors reportedly may have incurred losses due to securities broker Kathy Ann Borkovec (also known as Kathy Ann Berry and Kathy Ann Wallenfang) [CRD: 1867575, Northbrook, Illinois], according to disclosures on FINRA BrokerCheck. Borkovec has worked for Charles Schwab Co. Inc. since January 9, 2006, as a broker and since March 9, 2006, as an investment adviser. Keep reading to learn more about the allegations against Borkovec.
Particularly, on November 8, 2023, a Charles Schwab Co. Inc. client filed a complaint about Kathy Borkovec. The client alleged that Borkovec committed forgery. Therefore, the client requested compensation from Charles Schwab Co. Inc. However, the firm reviewed the complaint and denied the client’s request on November 15, 2023, stating that the allegations had no merit.
Specifically, a client of Fifth Third Securities Inc. contested Kathy Borkovec’s sales practices by filing FINRA Arbitration No. 04-02503. Allegedly, Borkovec made misrepresentations of material fact and provided unsuitable recommendations. It appears that Borkovec caused the client to sustain damages. Therefore, Fifth Third Securities Inc. opted to settle the matter on September 21, 2005, by compensating the client in the amount of $24,999.
Seeking more information about Kathy Borkovec? If you incurred losses, contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Borkovec and brokerage firms Borkovec worked for deny accusations of sales practice violations.
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