Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Klingmann Ii (Klingmann Ii), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Klingmann Ii recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 11, 2024.
Claimant alleges that their investments in conservation easements resulted in tax liabilities.