Kovack Advisors, Inc.


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.

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