ANTHONY ERNEST DELUCA is currently employed as a Broker and/or Investment Adviser at KOVACK SECURITIES INC. located at 1472 COURSE VIEW DRIVE, ORANGE PARK, FL, 32003.
ANTHONY ERNEST DELUCA has worked at KOVACK SECURITIES INC. since March 24, 2006
Disclosure History
ANTHONY ERNEST DELUCA has 1 Disclosure Event(s).
Date: March 17, 2006 Category: Employment Separation After Allegations Firm Name: SECURITIES AMERICA, INC Termination Type: Discharged Allegations: REPRESENTATIVE FAILED TO PROPERLY OBTAIN CLIENT'S SIGNATURES ON DISTRIBUTION FORMS. FAILURE TO FOLLOW FIRM AND INDUSRTY RULES AND STANDARDS OF CONDUCT. Broker Comment: ON ONE OCCASION A SIGNATURE WAS TAPED TO A BLANK STANDARD NFS DISTRIBUTION FORM FOR A POSSIBLE DISTRIBUTION TO THE CLIENT. IN THE IMMEDIATE PAST THERE WAS AN INTERVAL OF ABOUT 13 DAYS BETWEEN SENDING THE SAME FORM OFF TO THE CLIENT AND RECEIVING IT BACK DUE TO THE SLOWNESS OF THE MAIL. CLIENT WAS MODERATELY DISTURBED BY THE DELAY AND SO THE SIGNATURE WAS TAPED IN ORDER TO SPEED UP THE PROCESS IN THE EVENT THE CLIENT DECIDED TO REQUEST A SUBSEQUENT WITHDRAWAL. IF REQUESTED THE CHECK WOULD HAVE GONE DIRECTLY TO THE CLIENT. CLIENT DID NOT REQUEST A SUBSEQUENT DISTRIBUTION AND THE FORM WITH THE TAPED SIGNATURE WAS NEVER USED.
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