Scott Vincent Kaup (Scott Kaup) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Scott Kaup | Goodman & Nekvasil P.A., May Recover Investor Losses
Scott Vincent Kaup (Scott Kaup) CRD #1002907
Scott Kaup is a licensed financial advisor with Cetera Advisor Networks LLC. Scott Kaup was previously licensed with Summit Brokerage Services, Inc. and VSR Financial Services, Inc.
According to Scott Kaup’s BrokerCheck Report, two customer disputes have been filed alleging sales practice violations against Scott Kaup.
Customer Dispute (2/14/2019): Client alleges unsuitable investment recommendations, material misrepresentations and omissions, and supervisory due diligence failures. This customer dispute settled for $42,500.
Customer Dispute (7/13/2018): Client alleges unsuitable investment recommendations, material misrepresentations and omissions, and supervisory due diligence failures. This customer dispute settled for $998,000.
Customer Dispute (4/25/2016): Allegations include unsuitable recommendations, violation of common law fraud, breach of fiduciary duty, and negligence. This customer dispute was settled for $173,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost any money on investments with Scott Kaup, you may be able to recover your losses. If you lost money on investments with Scott Kaup 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 concerning Scott Kaup’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 Scott Kaup 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.
Some of the information in this blog post was obtained on 3/4/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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