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Kevin Piker: Settled and Pending Complaints Against Kansas RBC Rep

Kevin Piker Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that Kansas-based RBC Capital Markets broker/adviser Kevin Piker has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Piker (CRD# 3207685).

Kevin Piker has spent 19 years in the securities industry and has been registered with RBC Capital Markets in Leawood, Kansas since 2009. He was previously registered with UBS Financial Services in Kansas City, Missouri (1999-2009). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtains on October 5, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtains on July 6, 1999; SIE (Securities Industry Essentials Examination), which he obtains on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtains on December 24, 2002; and Series 7 (General Securities Representative Examination), which he obtains on June 16, 1999. He is a registered broker and investment adviser with 33 US states and territories.

According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.

In November 2018 a customer alleged Kevin Piker, while employed at RBC Capital Markets, did not make her aware she was paying annual insurance premiums on an investment that she purchased when she “believed she was investing for growth.” The customer is seeking unspecified damages in the pending complaint.

In 2008 a customer alleged Kevin Piker, while employed at UBS Financial Services, recommended an investment in auction rate securities prior to the widespread illiquidity in the market for auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for $100,000.

In 2008 a customer alleged Kevin Piker, while employed at UBS Financial Services, recommended an investment in auction rate securities prior to the widespread illiquidity in the market for auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for $300,000.

In 2008 a customer alleged he, while employed at UBS Financial Services, recommended an in auction rate securities investment prior to the breakdown in liquidity in the market for such. The complaint settled with the firm’s repurchase of the securities at par value, for $1,000,000.

In 2008 a customer alleged he, while employed at UBS Financial Services, purchased auction rate securities without authorization and never discussed the risk of such investments. The complaint settled with the firm’s repurchase of the securities at par value, for $200,000.

If you or someone you know has lost money investing with Kevin Piker, 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.

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