Kevin Klickna Suspended by FINRA Following Alleged Forgery

Kevin Klickna (CRD #: 5640324), a broker formerly registered with Equitable Advisors, has been suspended by FINRA, according to his BrokerCheck record, accessed on March 6, 2023. If you want to know more about his alleged conduct as a broker, read on.

FINRA Suspension

On January 4, 2023, Kevin Klickna consented to the entry of findings that he allegedly forged a client’s signature on two account records between March 23 and 25, 2021.

According to a Letter of Acceptance, Waiver & Consent (AWC), Kevin Klickna allegedly electronically added a client’s signature on an annuity account application without the client’s consent on March 23, 2021. He allegedly repeated this on a rollover form for the same client on March 25.

The AWC concluded that these allegations constituted violations of FINRA Rules 4511 and 2010.

FINRA Rule 4511

FINRA Rule 4511 requires firms to maintain accurate and up-to-date books and records.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Kevin Klickna consented to the following sanctions:

• $5,000 fine
• 3-month suspension

His suspension began on January 17, 2023, and will end on April 16, 2023.

You can read a copy of the AWC here.

Termination from Equitable Advisors

On April 21, 2021, Kevin Klickna was fired from Equitable Advisors following alleged integrity issues related to client signatures and an allegation that he established an online account without a client’s authorization.

Investor Dispute

On May 5, 2021, an investor alleged that Kevin Klickna executed an unauthorized account rollover and forged her signature on the rollover form. This dispute was settled for an undisclosed amount.

Background Information

Kevin Klickna has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination

He previously worked for Equitable Advisors (CRD#:6627) and AXA Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with Kevin Klickna and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.