Kovack Securities Broker Investigated

Kovack Securities

Investment fraud attorneys are investigating Rita Marie Dulya, a former financial advisor of Kovack Securities. There are several allegations, including failure to disclose a regulatory event resulting in a bar from the securities industry, a pending felony criminal charges an and a termination from employment.

Investors that lost money or can provide information on Rita Dulya You should contact Haselkorn & Thibaut, national investment and security fraud lawyers. Investors can call 1 888-628-5590 or visit their website for a free consolutation.

In November of 2018, Rita Dulya was permanently barred from the securities industry for failing to respond to the Financial Industry Regulatory Authority (FINRA) request for information in connection with an investigation.

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FINRA is the agency that regulates and licenses financial advisors and brokerage firms. The agency requires both brokers and brokerage firms to file customer complaint/disputes as well as regulatory reports. In addition, advisors are required to disclose specific financial matters such as personal bankruptcies,arrests, judgments and liens.

In February 2018, Dulya was charged with felony charges of third-degree grand theft of a person 65 years of age or older in Circuit Court for the 19th Judicial Circuit of the State of Florida, Port St. Lucie County. The formal charges include the exploitation of a disable or elderly. This court case is pending.

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Kovack Securities fired Dulya in October of 2017 because of allegations that a “client gave money to a registered representative.” She had worked for Kovack Securitiesfrom 2002 to October of 2017. Prior she worked with Pro-Integrity Securities, and Sunpoint Securities.

Investors should be careful to check their financial advisor’s background on FINRA’s brokercheck website.  It is free and an easy way to find out if there are any issues with brokers before making an investment with them.  It should be pointed out that most financial advisors provide excellent value to their clients.  If you are ever worried or concerned about your investments, contact an attorney for legal help.

 

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