Kevin Dominic Klickna, of Springfield, Illinois, a stockbroker registered with Equitable Advisors LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Klickna committed forgery. Acceptance, Waiver, and Consent No. 2021071200801 (January 4, 2023).
In April 2021, Equitable Advisors LLC submitted a Uniform Termination Notice for Securities Industry Registration (Form U5), which reported that Klickna was terminated as a stockbroker. The termination was attributed to repeated issues related to document integrity involving customer signatures, as well as an allegation of creating an unauthorized online customer account.
On March 23, 2021, Klickna electronically affixed a customer’s signature on an annuity account application without obtaining the customer’s consent. Furthermore, on March 25, 2021, Klickna copied the same customer’s signature and affixed it to a rollover form. Eventually, the customer noticed the forgery on the rollover form and lodged a complaint with the securities broker dealer.
Therefore, by forging the customer’s electronic signature on the annuity account application and affixing the customer’s signature on the rollover form, Klickna violated FINRA Rule 2010. Additionally, by causing Equitable to maintain inaccurate books and records, Klickna violated FINRA Rules 2010 and 4511.
FINRA Public Disclosure shows that Klickna is referenced in three customer initiated investment related disputes concerning Klickna’s conduct while associated with securities broker dealers. On May 6, 2020, a customer initiated investment related complaint involving Klickna’s conduct was settled to resolve allegations that Klickna committed forgery in connection with the sale of life insurance policies when Klickna was associated with Equitable Advisors LLC.
On May 6, 2020, a customer initiated investment related complaint involving Klickna’s conduct was settled to resolve allegations that Klickna committed forgery in connection with the sale of life insurance policies during the period that Klickna was associated with AXA Advisors LLC.
Klickna was also referenced in a customer initiated investment related complaint that was settled on May 25, 2021, to resolve allegations that Klickna committed forgery in connection with the sale of variable annuities at Equitable Advisors LLC.
Klickna was associated with Equitable Advisors LLC in Springfield, as a stockbroker from January 21, 2013, to April 26, 2021.
