WARNING! Impending Investigation: KEVIN KUHLOW and LPL FINANCIAL
Investigation of Kevin Kuhlow and LPL Financial
Have you lost money with financial advisor Kevin Kuhlow of Los Gatos, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin Kuhlow. FINRA barred Kuhlow from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Kuhlow regarding allegations that he sold investments without approval from his brokerage firm, LPL Financial.
Kevin Kuhlow was a financial advisor and registered representative of LPL Financial from January 2005 to March 2016. He worked at a branch office in Los Gatos, California. Kuhlow filed for bankruptcy in 2012, and he also has been the subject of at least 5 customer complaints.
Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Kuhlow FINRA AWC
Click to view: Kuhlow BrokerCheck 3.21.16
HAVE YOU LOST MONEY WITH KEVIN KUHLOW OR LPL FINANCIAL?
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798