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FINRA Awards for Kovack Securities Inc

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0037201/13/2023Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
Checkmark IconExpungement
20-0297601/13/2022Claimant(s): Normando Matos
Claimant Lawyers(s): Sara Hanley
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Edward R. Niederriter, Sidney Seligman, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0168101/06/2021Claimant(s): Cynthia Foster, Cynthia M. Foster IRA
Claimant Lawyers(s): Kirk G Smith
Respondent(s): Kovack Securities Inc, Susan Penney
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Raymond C. Kerr, Randy Paul Bowser, Ben Hilfiger
Hearing Site: Oklahoma City, OK
Checkmark IconExpungement

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