(877) 410-8172
Home  »  Investor Alerts  »  Kovack Advisors, Inc.

Kovack Advisors, Inc.

Date:

September 21, 2022

Type of alert:

SEC Cease-and-Desist  

The SEC ordered Cease-and-Desist proceedings against Kovack Advisors, Inc. The respondent submitted an Offer of Settlement that the SEC has determined to accept. Kovack Advisors, Inc. allegedly failed to review the accounts of advisory clients and to adequately disclose certain fees, failed to adopt and implement written policies, and more.

Read More

Contact Us If You Believe You Have a Case

"*" indicates required fields

Name*

Please note: We are unable to take cases with losses of less than $50,000.

This field is for validation purposes and should be left unchanged.

(877) 410-8172

© 2024 ChapmanAlbin

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer