According to a recent FINRA disciplinary announcement, Kevin Joseph Kuhlow (CRD #1993792, Los Gatos, California) has submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kuhlow consented to the sanction and to the entry of findings that he refused to produce FINRA with requested documents and information, and appear for on-the-record testimony in connection with its investigation into the allegations reported on his Form U5 that he had violated his member firm’s policies by directing clients to an unapproved investment.
For the full FINRA findings, see FINRA Case #2016048430801.
According to Kuhlow’s FINRA BrokerCheck, he was registered with LPL FINANCIAL from 01/2005 – 03/2016.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.
For information on the firm and its representation of investors, visit https://www.whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call 888-637-5510.