Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Klickna (Klickna), previously associated with Equitable Advisors, LLC, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Klickna recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 04, 2023.
Without admitting or denying the findings, Klickna consented to the sanctions and to the entry of findings that he forged a customer’s electronic signature on an annuity account application without the customer’s consent and affixed the customer’s signature on a rollover form. The findings stated that the customer eventually noticed the forgery on the rollover form and complained to Klickna’s member firm. As a result of the documents being firm records, Klickna caused the firm to maintain inaccurate books and records.