Kevin J. Kuhlow—Unapproved Investment
Kevin J. Kuhlow Allegedly Directed Clients to an Unapproved Investment
Kevin J. Kuhlow, who was registered with LPL Financial from January 14, 2005 through his termination on March 3, 2016, allegedly violated firm policies by directing clients to an unapproved investment, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).
Due to the alleged violation, FINRA staff, on March 9, 2016, sent requests to Kuhlow for documents and information and to appear for on-the-record testimony pursuant to FINRA Rules, the AWC notes.
Kevin J. Kuhlow Barred by FINRA Barred for Refusing to Comply with Written Requests for Documents, Information and On-the-record Testimony in Connection with an Investigation
Kevin J. Kuhlow allegedly acknowledged that FINRA has sent him requests pursuant to FINRA Rules, and subsequently also purportedly acknowledged that he would neither produce the requested documents and information nor appear for on-the-record testimony at any time, according to said AWC.
Kevin J. Kuhlow, by allegedly refusing to produce documents and information and to appear for on the-record testimony as requested pursuant to FINRA Rules, violated FINRA Rules, the AWC reports.
Kuhlow, as a result, violated FINRA Rules, and hence, has been barred by FINRA, the AWC notes. One should also note that, according to the AWC, Kevin J. Kuhlow neither admitted nor denied the FINRA findings.
The Peiffer Wolf Carr & Kane Securities Lawyers Often Assist Investors
The Peiffer Wolf Carr & Kane securities lawyers assist investors who lose money as a result of brokers directing clients to unapproved investments. 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 brokers directing clients to unapproved investments are encouraged to contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.