Goodman & Nekvasil P.A., May Recover Investor Losses | Daniel Kittner (Dan Kittner), Financial Advisor Suspended from Securities Industry
Dan Kittner was licensed with Ameritas Investment Corp. from 2011 to 2017. FINRA reports that Dan Kittner was suspended from the securities industry on 10/15/2018. FINRA reports that Dan Kittner consented to the sanctions and to the entry of findings that Dan Kittner exercised discretion in the accounts of two customers, a married couple, without written authorization from the customers and without acceptance of the accounts as discretionary by his member firm. The findings stated that Dan Kittner effected approximately 700 trades in six separate accounts belonging to the customers without contacting them prior to each trade to confirm the details of the trade. In addition, FINRA reports that the firm’s WSPs did not permit registered representatives to use discretion. The findings also stated that Dan Kittner inaccurately failed to mark the orders as discretionary, thereby causing the firm to make and preserve inaccurate order tickets.
Ameritas Investment Corp. reported to FINRA that Dan Kittner resigned on November 1, 2017 during the Firm’s investigation into a customer’s verbal complaint.
Ameritas Investment Corp. reported to FINRA that a complaint involving Dan Kittner’s conduct was settled for $41,000. This verbal complaint alleged excess commissions and unauthorized trades.
If you lost any money on investments with Dan Kittner, you may be able to recover your losses from Ameritas Investment Corp. This is because Ameritas Investment Corp. had a duty to supervise Dan Kittner.
If you lost money on investments with Dan Kittner and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Ameritas Investment Corp. concerning Dan Kittner’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Dan Kittner and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.