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… Read more »

Woodbury Financial Services, Inc.—Failure to Apply Sales Charge Discounts

New Orleans Investment fraud attorneys

Woodbury Financial Services, Inc. Allegedly Failed to Apply Sales Charge Discounts to Approximately 744 Eligible UIT (Unit Investment Trust) Purchases resulting in customers paying excessive sales charges of approximately $98,937.31 Woodbury Financial Services, Inc., a broker with its principal place of business in Oakdale, Minnesota, allegedly failed to apply sales charge discounts to approximately 744… Read more »