Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Wisconsin-based Stifel Nicolaus & Company broker/adviser Kevin McKenna has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McKenna (CRD# 1886142).
Kevin McKenna has spent 29 years in the securities industry and has been registered with Stifel Nicolaus & Company in Wausau, Wisconsin since 2009. Previous registrations include UBS Financial Services in Wausau, Wisconsin (2006-2009); Piper Jaffray & Company in Wausau, Wisconsin (2004-2006); RBC Dain Rauscher in New York, New York (1999-2004); and Merrill Lynch in New York, New York (1988-1999). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 1988; and Series 7 (General Securities Representative Examination), which he obtained on November 19, 1988. He is a registered broker and investment adviser with 13 US states and territories: Alaska, California, Colorado, Florida, Illinois, Kansas, Massachusetts, Minnesota, New York, North Dakota, Ohio, Texas, and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and one withdrawn customer complaint.
In February 2018 a customer alleged Kevin McKenna, while employed at Stifel Nicolaus & Company, is misrepresented material facts related to an over-the-counter equity purchase. The complaint settled in March 2018 for more than $13,400.
In 2016 a customer alleged Kevin McKenna, while employed at Stifel Nicolaus & Company, recommended unsuitable investments, breached his fiduciary duty, committed common law fraud, breached contract, was negligent in his supervisory duties, and violated the Wisconsin Securities Act. The customer sought $70,000 in damages in the complaint, which was withdrawn.
If you or someone you know has lost money investing with Kevin McKenna, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. 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.