There are options for clients of Kovack Securities Inc. broker Christopher Hartman (CRD# 1850747) who suffered investment losses. He has been registered with Kovack Securities Inc. in Santa Barbara, California, since 2017. Previously, he was registered with TKG Financial, LLC in Santa Barbara, California, from 2010 to 2017.
Christopher Hartman Customer Complaints
He has been the subject of four customer complaints between 2005 and 2022, one of which was denied, according to his CRD report. The most recent complaints are regarding:
December 2022. “Client alleges unsuitability, failure to supervise and inadequate due diligence regarding the sale of a private placement.” The customer is seeking $500,000 in damages and the case is currently pending. The complaint was regarding private placements investment losses, and it took place while he was registered with Kovack Securities Inc.
October 2022. “Claimant alleges that she was sold an unsuitable investment and that KSI did not conduct thorough due diligence and supervision of the sale.” The case is currently pending. The complaint was regarding direct investments, and it took place while he was registered with Kovack Securities Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Kovack Securities Inc. may be liable for investment or other losses suffered by Christopher Hartman’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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