Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kuhl (Kuhl), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one tax lien, alleging that Kuhl recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 08, 2024.
Without admitting or denying the findings, Kuhl consented to the sanctions and to the entry of findings that he electronically signed documents on the behalf of customers of his member firm with their permission. The findings stated that the documents signed by Kuhl included Account applications and money movement forms and were required books and records of his member firm. None of the customers complained. Kuhl falsely attested to his firm on compliance questionnaires that he had not signed or affixed another person’s signature on a document. The findings also stated that Kuhl caused his firm to maintain inaccurate books and records.
