Kevin J. Kuhlow, of Los Gatos, California, a stockbroker with LPL Financial LLC, was permanently barred from associating with any Financial Industry. 2016048430801 (Mar. 16, 2016).
According to the AWC, LPL informed FINRA that it terminated Kuhlow on March 3, 2016, amid allegations of Kuhlow’s conduct of directing LPL’s customers to unapproved investments or selling away. FINRA launched an investigation into Kuhlow following receipt of LPL’s information in this regard. The AWC stated that on March 9, 2016, FINRA requested that Kuhlow produce information and documentation, as well as provide on-the-record testimony in connection with such allegations, per FINRA Rule 8210.
The AWC noted that Kuhlow responded to FINRA on March 8, 2016, where Kuhlow indicated that he would not be providing FINRA with such information and documentation or testifying at any point. FINRA found that Kuhlow’s conduct in this regard was violative of FINRA Rules 2010 and 8210, leading Kuhlow to be permanently barred as a result.
Public disclosure records via FINRA’s BrokerCheck reveal that Kuhlow has been subject to nine disclosure incidents. On November 29, 2000, Kuhlow became subject to a customer dispute where the customer alleged to have been deprived of information pertaining to penalties on surrendering investments; and additionally claimed that investments purchased were unsuitable. On February 7, 2001, Kuhlow settled a customer dispute for $1,225.70 after a customer alleged unsuitable investments were purchased pursuant to Kuhlow’s recommendations.
On March 8, 2001, Kuhlow became subject to a customer dispute containing allegations that Kuhlow engaged in unauthorized trading. Kuhlow was additionally accused of engaging in unauthorized activity by another client on April 1, 2003. On March 18, 2005, Kuhlow became subject to yet another customer dispute, where a customer claimed suitability violations, conversion and misappropriation.
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