MICHAEL ANDREW NEAL is currently employed as a Broker and/or Investment Adviser at KOVACK SECURITIES INC. located at 6451 N. FEDERAL HWY, SUITE 1201, FT. LAUDERDALE, FL, 33308.
MICHAEL ANDREW NEAL has worked at KOVACK SECURITIES INC. since September 30, 2005
Disclosure History
MICHAEL ANDREW NEAL has 5 Disclosure Event(s).
Date: February 14, 2018 Category: Customer Dispute Allegations: Client was unhappy with representative's recommendations and the commissions that he was charged. Damage Amount Requested: $7,613.19 Settlement Amount: $7,613.19
Date: March 14, 2012 Category: Judgment / Lien Judgment/Lien Amount: $2,465.00 Judgment/Lien Type: Civil Broker Comment: This lien involves a medical billing issue from 10 years ago. At the time of the medical procedure, my understanding was that my insurance provider was liable for the payment, not me. The issue remains unresolved.
Date: December 19, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE RECOMMENDATIONS WERE MADE IN 2011. Damage Amount Requested: $21,137.90 Settlement Amount: $21,137.90
Date: September 09, 1992 Category: Criminal Charges: 1 COUNT, ISSUE BAD CHECK, MISDEMEANOR, NO PLEAAMENDED TO DISORDERLY CONDUCT, PLEAD GUILTY Charge Type: MISDEMEANOR Disposition: I PLEAD GUILTY TO DISORDERLY CONDUCT AND MADERESTITUTION OF $190.05, 6/8/93 Broker Comment: A VENDOR FILED CHARGES AGAINST ME FOR ISSUING A BAD CHECK OF $190.05. I WROTE THE CHECK FOR BUSINESS PRUPOSES, IN GOOD FAITH, UNFORTUNATELY MY BUSINESS SUFFERED A LACK OF ADEQUATE CASE FLOW AND THE CHECK BOUNCED. CHARGES WERE FILED BY MY VENDOR AS A COUNSEQUENCE. I DID MAKE FULLRESTITUTION.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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