Investors apparently complained about securities broker David Ta-Wai Yu [CRD: 5484970, Fort Lauderdale, Florida], according to public information on FINRA BrokerCheck. Evidently, David Yu has been registered with IFP Securities LLC and Independent Financial Partners in Fort Lauderdale, Florida since October 25, 2019. Previously, Yu worked for Kovack Advisors Inc. and Kovack Securities Inc. from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Frank Enrique Lumpuy [CRD: 2108307, Miami, Florida]. Lumpuy has worked in the securities industry for over 32 years and was most recently registered with Kovack Securities Inc. from June 2006 to February 2024. Recent disclosures reveal concerns about Lumpuy’s professional conduct, including client disputes, […]

Client Files Investment Dispute About Jason Skyler (TKG, Kovack) FINRA provides important information in regard to securities broker Jason Brando Skyler (CRD#: 4634466, Santa Barbara, California)). Evidently, Skyler worked as a securities broker or financial advisor for Kovack Securities from 2017 to 2020. Also, he worked for TKG Financial LLC from 2006 to 2017. Here […]

Kovack Securities Investors Reportedly Dispute The Sales Practices Of Broker Gerald O'Halloran Soreide Law Group has new information to share with you in regard to securities broker Gerald James OHalloran (CRD#: 1056697, Punta Gorda, Florida). It appears that O’Halloran worked for a number of securities firms including Kovack Securities (2004 to 2018) and Union Capital […]

Securities Broker Thomas Chandler Resigns From Kovack Securities Over Misconduct Allegations FINRA BrokerCheck shows important information in regard to securities broker Thomas Wayne Chandler (CRD#: 1082136, Fort Lauderdale, Florida). Evidently, Chandler worked for securities firms Merrill Lynch, LPL Financial (2014 to 2018) and Kovack Securities (2019 to 2020). Notably, both Kovack Securities and LPL Financial […]

Broker Andy Scheirer Focus Of Disputes About Alternative Investments The investment loss recovery team at Soreide Law Group provides you with this Investor Alert update regarding securities broker Andrew Raymond Scheirer II who also goes by the name Andy Haas (CRD#: 4256666, Lake Mary, Florida). Evidently, five investors filed disputes to challenge the sales practices […]

Broker Keith Kelt Supposedly Sold Unsuitable REITs To TKG Financial, Kovack Investors FINRA BrokerCheck reports troubling allegations against securities broker Keith Landon Kelt (CRD#: 267357, Santa Barbara, California). Notably, three investors filed disputes about the broker, who worked for TKG Financial from 2005 to 2017 before joining Kovack Securities in 2017. These investor disputes seem […]

Kovack Broker Andrew Corbman Allegedly Breached A Fiduciary Duty Investor Alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck signals troubling information in regard to securities broker Andrew Corbman [CRD#: 2513558, Lansdowne, Virginia]. Apparently, at least 19 clients took issue with the securities broker, who worked for Kovack Securities (2011-2015) and Newbridge Securities Corporation (2015-2016). Not only […]

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]