Charles Kerker (CRD#: 1317057), a 34-year veteran of the securities industry whose experience spans three firms, was terminated from Next Financial Group, Inc. of Cohoes, New York on June 18, 2019 due to “failure to adequately respond to a compliance inquiry regarding equity transactions in 12 customer accounts. Specifically, the date and time that clients were contacted regarding each transaction, the rationale for the transactions, the suitability analysis conducted for each customer and copies of investment research,” according to his BrokerCheck report accessed on July 31, 2019. He is currently a registered representative with Peak Brokerage Services, LLC of Palm Beach Gardens, Florida.
Charles Kerker settled a customer dispute after a client alleged “that putting all her funds in one stock without diversification was unsuitable.” The client, who filed the claim on March 5, 2015, requested $8,345 in damages. Charles Kerker settled for $8,346.
Charles Kerker has also worked for Advantage Capital Corporation (CRD#: 146) of Atlanta, Georgia.
If Charles Kerker was your broker or if you have concerns about your investments, don’t hesitate to call the experienced securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free consultation.