Public records published by the Financial Industry Regulatory Authority (FINRA) on November 21, 2016 indicate that former California-based LPL Financial broker Kevin Kuhlow, who is alternately known as Kevin Cullen, has been permanently barred from the securities industry and is the subject of pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to customer who have complaints regarding Mr. Kuhlow (CRD# 1993792).
Kevin Kuhlow has spent 26 years in the securities industry and was most recently registered with LPL Financial in Los Gatos, California (2005-2016). Previous registrations include Wells Fargo Investments in San Francisco, California; Salomon Smith Barney in New York, New York; WM Financial Services in Irvine, California; Great Western Financial Securities Corporation in Northridge, California; ASB Financial Services in Irvine, California; Franklin Distributors in San Mateo, California; and Waddell & Reed in Overland Park, Kansas. He is currently not registered with any state or firm.
According to his BrokerCheck report, Kevin Kuhlow has received one customer complaint, two pending customer complaints, and one regulatory sanction.
In April 2016 a customer alleged Kevin Kuhlow, while employed at LPL Financial, recommended an unsuitable investment in preferred stock. The customer is seeking $77,000 in damages in the pending complaint.
In April 2016 a customer alleged he, while employed at LPL Financial, recommended an unsuitable investment. The customer is seeking $75,000 in damages in the pending complaint.
In March 2016 FINRA sanctioned Kevin Kuhlow following allegations he “refused to produce documents and information and to appear for on-the-record testimony as requested by FINRA in connection with its investigation into the allegations that he had violated his member firm’s policies by directing clients to an unapproved investment.”
In 2001 a customer alleged he, while employed at WM Financial Services, made an unsuitable investment recommendation. The complaint settled for more than $1,200.
If you or someone you know has a complaint regarding Kevin Kuhlow, also known as Kevin Cullen, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.