Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that former New Jersey-based Oppenheimer & Company broker/adviser Kenneth Katz is involved in a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Katz (CRD# 502287).
Kenneth Katz has spent 39 years in the securities industry and was most recently registered with Oppenheimer & Company in Florham Park, New Jersey (2009-2017). Preious registrations include UBS Financial Services in Westfield, New Jersey (2001-2009); First Union Securities in St. Louis, Missouri (1999-2001); First Union Capital Markets in Charlotte, North Carolina (1996-1999); Gibraltar Securities in Florham Park, New Jersey (1988-1996); and Halpert Oberst & Company (1977-1988). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 17, 1984; Series 7 (General Securities Representative Examination), which he obtained on September 11, 1982; Series 52 (Municipal Securities Representative Examination), which he obtained on April 14, 1979; and Series 1 (Registered Representative Examination), which he obtained on August 10, 1978. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint.
In February 2018 a customer alleged Kenneth Katz, while employed at Oppenheimer & Company, recommended unsuitable investments in Puerto Rico bonds from June 2009 through May 2017. The customer is seeking $400,000 in damages in the pending complaint.
If you have lost money investing with Kenneth Katz, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.