Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kevin Dziubela (Dziubela), currently employed by National Securities Corporation (National Securities) has been subject to at least three customer complaints during the course of his career. Dziubela’s customer complaints alleges that Dziubela recommended unsuitable investments in various equity based investments and makes allegations including breach of fiduciary duty, misrepresentation and omissions, and negligence among other allegations of misconduct relating to the handling of their accounts.
In August 2019 a customer complained that Dziubela violated the securities laws by alleging that Dziubela made investments recommendations that the client alleges involved breach of fiduciary duty, misrepresentation and omissions, and negligence. The claim alleges $200,000 in damages and settled for $60,000.
In April 2019 a customer complained that Dziubela violated the securities laws by alleging that Dziubela made investments recommendations that the client alleges involved breach of fiduciary duty, misrepresentation and omissions, and negligence. The claim alleges $48,231 in damages and is currently pending.
In February 2015 a customer complained that Dziubela violated the securities laws by alleging that Dziubela made investments recommendations that the client alleges involved breach of fiduciary duty and negligence. The claim alleges $900,000 in damages and settled for $45,000.