Karen Hajek—Outside Business Activities

California stockbroker fraud attorneyKaren Hajek Allegedly Engaged in Outside Business Activities

Karen Hajek allegedly engaged in several outside business activities, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Karen Hajek, for example, was allegedly involved with managing a family corporation Kline Investment Services, Inc. (KIS) wherein Hajek served as a director, as well as vice president and manager, the AWC notes.

Karen Hajek was obligated to disclose to Genworth, Cetera and NFP her involvement in KIS, but she allegedly failed to do so, the AWC notes. The Peiffer Rosca Wolf securities lawyers are currently investigating Karen Hajek’s numerous undisclosed outside business activities.

Karen Hajek Suspended and Fined $15,000 for Allegedly Involvement in Outside Business Activities

Karen Hajek, from June 2006 through February 2014, and while she was registered with Genworth and Cetera, allegedly engaged in numerous undisclosed outside business activities, according to a recent FINRA AWC currently under review by attorneys Alan Rosca and Joe Peiffer.

As a result of the aforementioned behavior, Karen Hajek allegedly violated NASD and FINRA Rules, and hence, has been suspended and fined $15,000 by FINRA. One should also note that, according to the AWC, Karen Hajek neither admitted nor denied the FINRA findings.

Some of the outside business entities that Karen Hajek was allegedly involved with include the following:

President at Hajek C.P.A.’s, P.A.
Partner at Hajek & Hajek, C.P.A., P.A.
Managing Member at Hhh Holdings, LLC
Treasurer at My Kids Atm, Inc.
Director at Futuresource Financial Group, Inc.
Director at Kline Investment Services, Inc.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged outside business activity. They are currently investigating Karen Hajek’s alleged outside business activities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Karen Hajek’s alleged outside business activities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1234 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.