Unsuitable Investment Recommendations by National Securities Corp. Broker Kevin Dziubela?
Posted on Tuesday, June 2nd, 2020 at 3:58 pm
National Securities Corp. broker Kevin Dziubela (CRD# 3208688) received multiple customer complaints regarding unsuitable investment recommendations. Dziubela has been registered with National Securities Corporation in Boca Raton, Florida since 2014.
Dziubela has been the subject of three customer complaints between 2015 and 2020, according to his CRD report:
August 2019. “Suitability, misrepresentation, omissions, breach of fiduciary duty and negligence.” The customer is seeking $200,000 in damages and the case is currently pending. The complaint took place while Dziubela was registered with National Securities Corp. and was regarding equity OTC.
April 2019. “Negligence, suitability, breach of fiduciary duty, negligent misrepresentation and omissions.” The customer is seeking $48,231 in damages and the case is currently pending. The complaint took place while Dziubela was registered with National Securities Corp. and was regarding equity OTC.
February 2015. “Breach of fiduciary duty, negligence.” The customer sought $900,000 in damages and the case was settled for $45,000. The complaint took place while Dziubela was registered with CBG Financial Group, Inc. and was regarding equity OTC.
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, National Securities Corporation may be liable for investment or other losses suffered by Dziubela’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.