DID KATHY ANN BORKOVEC CAUSE YOU INVESTMENT LOSSES?

Kathy Borkovec Of Charles Schwab & Co., Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Kathy Borkovec of Charles Schwab & Co., Inc.?

Kathy Borkovec (CRD #1867575) who is currently registered as a broker and investment adviser with Charles Schwab & Co., Inc. and located in Northbrook, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Inc., Kathy Borkovec was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Kathy Borkovec Customer Complaints

Kathy Borkovec has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Fifth Third Securities in favor of the investor. The other customer complaint was recently denied by Charles Schwab and so far, the investor is not taking any further action.

Allegations Against Kathy Borkovec

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Participation in forgery of a beneficiary form and adding a power of attorney by notarizing forged signature.
• Misrepresentation and unsuitable recommendations.

Kathy Borkovec Red Flags & Your Rights As An Investor

Of course, Kathy Borkovec did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kathy Borkovec at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Kathy Borkovechas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Kathy Borkovec

If you have questions about Charles Schwab & Co., Inc. and/or Kathy Borkovec and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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