Soreide Law Group (888-760-6552) obtained the following information from the Disciplinary Report January 2017, on FINRA’s website:
Kevin Paul Hudak (CRD #4439153, Albuquerque, New Mexico)
was barred by FINRA for allegedly submitting non-solicitation forms to his member firm that had non-authentic client signatures.
FINRA’s findings stated that Hudak’s firm required these non-solicitation forms in order to process low-priced securities transactions for his clients. Hudak allegedly falsified these non-solicitation forms by having clients sign blank forms, which he then photocopied and reused for future low-priced securities transactions.
Also, FINRA’s findings stated that Kevin Paul Hudak allegedly provided false and misleading testimony to FINRA by repeatedly denying that he had asked clients to sign blank non-solicitation forms, and that he copied client signatures for use as if they were authentic.
(FINRA Case #2015047041301)
FINRA has permanently barred Kevin Paul Hudak from acting as a broker or otherwise associating with firms that sell securities to the public. According to FINRA’s BrokerCheck, Kevin Paul Hudak was registered in the securities industry for 13 years and was listed with 3 firms, the most recent are listed below:
06/18/2014 - 10/08/2015 FOOTHILL SECURITIES INC - ALBUQUERQUE, NM
02/28/2006 - 06/17/2014 CETERA ADVISOR NETWORKS LLC - ALBUQUERQUE, NM
If you were a client of Kevin Paul Hudak, formerly with FOOTHILL SECURITIES INC, ALBUQUERQUE, NM, and experienced losses due to his recommendations or actions, call Soreide Law Group for a no-cost consultation with a lawyer regarding the possibility of recovering your financial losses at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA and we operate on a contingency basis.
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