Rita Marie Dulya (also known as Rita Marie Masluk) of Port St. Lucie Florida a stockbroker formerly registered with Kovack Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations of Dulya failing to cooperate with a FINRA inquiry. Case No. 2017055835001 (Nov. 19, 2018).
According to FINRA Public Disclosure, Dulya’s lack of cooperation with a FINRA inquiry initially resulted in a suspension on September 7, 2018. Dulya’s suspension was only able to be resolved at that point by her providing FINRA information by a November 18, 2018 deadline. Dulya failed to correspond with the securities regulator by the deadline imposed resulting in her being permanently barred by FINRA on November 19, 2018.
FINRA Public Disclosure confirms that Dulya was discharged by Kovack Securities Inc. on October 9, 2017 founded on accusations that she obtained funds from a customer of the firm in violation of the firm’s policy. Subsequently, Dulya was charged in the Circuit Court of Pt. St. Lucie Florida with one count of felony theft of a person aged sixty-five or older; and one count of exploitation of a disabled or elderly person.
Also, Dulya has been identified in two customer initiated investment related disputes containing allegations of her misconduct while employed with Pro-Integrity Securities Inc. and SunPoint Securities Inc. In particular, a customer filed an investment related civil action involving Dulya’s activities in the Circuit Court of Pt. St. Lucie Florida where the customer sought $15,000.00 in damages based upon accusations that during the time that Dulya was associated with SunPoint Securities Inc., misrepresentations or omissions had been made with respect to the customer’s investments in a direct participation program which failed after the purchase had been made.
The second customer filed an investment related complaint involving Dulya’s conduct in which the customer requested more than $10,000.00 in damages supported by allegations of unsuitability relating to the variable universal life insurance products sold by Dulya when she was associated with Pro-Integrity Securities Inc.
