KEVIN RICHARD KEITH is currently employed as a Broker and/or Investment Adviser at HIGHTOWER SECURITIES, LLC located at 718 Poplar Street, Suite H, Lebanon, PA, 17042.
KEVIN RICHARD KEITH has worked at HIGHTOWER SECURITIES, LLC since October 06, 2017
Disclosure History
KEVIN RICHARD KEITH has 3 Disclosure Event(s).
Date: September 21, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND UNAUTHORIZED TRADES. Damage Amount Requested: $71,000.00 Settlement Amount: $2,226.65 Broker Comment: THE CLAIMS ARE BELIEVED TO BE WITHOUT MERIT. THIS MATTER WAS SETTLED PURELY AS A BUSINESS DECISION AND TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION.
Date: May 01, 2006 Category: Customer Dispute Allegations: CLAIMANT ALLEGED THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATIONS.NO SPECIFIC DAMAGES ALLEGED. Broker Comment: UPON INVESTIGATION THE COMPLAINT WAS FOUND TO BE WITHOUT MERIT AND WAS DENIED.
Date: August 29, 2001 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGED THAT THEIR ACCOUNT WAS NOT DIVERSIFIED AND THEY LOST HALF OF THIER MONEY IN HIGH INCOME MUTUAL FUNDS. Damage Amount Requested: $41,000.00 Broker Comment: MERRILL LYNCH FOUND THAT THE CUSTOMERS' INVESTMENTS IN HIGH INCOME MUTUAL FUNDS WERE CONSISTENT WITH THEIR GOAL TO MAXIMIZE THIER INCOME.
More Information
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