Kevin Richard Wilson Allegedly Engaged in Unauthorized Trading, Unsuitability, & Over-concentration; Damage Amounts of $90,405.00, $300,000.00, $440,000.00, & $500,000 Requested, Respectively

Kevin Wilson is currently facing seven pending customer disputes alleging, among other things, acts of unauthorized trading, unsuitability, and over-concentration, according to FINRA Reports under review by investor rights attorney Alan Rosca.

Kevin Wilson  allegedly engaged in unauthorized trading, according to a Pending Customer Dispute filed on May 7, 2019, FINRA states.  Said unauthorized trading took place in 2014, and the Damage Amount Requested is $90,405.00, FINRA notes.

Kevin Wilson allegedly also engaged in unsuitability and over-concentration, according to a Pending Customer Dispute. Said Dispute was filed on May 1, 2019, and claims that  the aforementioned behavior took place from 2010 to 2017, and the Damage Amount Requested was $300,000.00, FINRA notes.

Wilson also allegedly took part in unsuitability and over-concentration from 2012 to 2017, according to a Pending Customer Dispute, and the Damage Amount Requested was $440,000.00, FINRA states. Wilson has made a comment on his BrokerCheck Report that this is a baseless claim which he intends to vigorously defend, FINRA notes.

Kevin Wilson also allegedly made unsuitable recommendations from 2014 to 2017, according to a Pending Customer Dispute. Said Dispute was filed on November 27, 2018, and the Damage Amount Requested was $500,000.00, FINRA states.

Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Kevin Wilson’s alleged acts of unauthorized trading, unsuitability, and over-concentration. Investors who believe they may have lost money in activity related to Kevin Wilson’s alleged acts of unauthorized trading, unsuitability, and over-concentration are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Kevin Richard Wilson Allegedly Engaged in Acts of Unsuitability from 2010 to 2017; Damages of $2 Million & $457,000 Have Been  Requested, Respectively

Kevin Wilson allegedly engaged in acts of unsuitability from 2010 to 2017, according to a Pending Customer Dispute, according to Wilson’s FINRA BrokerCheck Report. Damage Amounts Requested in said case are noted to be $2,000,000, FINRA states, and said Dispute was filed on October 4, 2018.

Another pending Customer Dispute filed on July 9, 2018 alleges that Kevin Wilson engaged in acts of unsuitability and over-concentration from 2009 to 2017, and Damage Amounts Requested are $457,000, FINRA states.

Kevin Wilson also allegedly took part in acts of misrepresentation, according to a Pending Customer Dispute. Said Dispute was filed on December 21, 2017, and Damages Requested are $75,000, FINRA notes.

Kevin Wilson has been registered with National Securities Corporation in New York, NY since August 7, 2017, but was registered with Laidlaw & Company (UK) Ltd. in New York, NY from October 27, 2010 through September 5, 2017, the time period for the aforementioned alleged acts of unsuitability, FINRA notes.

Kevin Wilson has spent nearly two decades in the securities industry with 8 different firms, has seven Disclosure on his FINRA BrokerCheck Report, and has also been registered with the following firms, FINRA states:

  • Gilford Securities in New York, New York— from August 29, 2006 to January 21, 2009
  • Westminster Securities Corporation in New York, New York— from March 24, 2005 to September 11, 2006
  • Casimir Capital in Greenwich, Connecticut— from June 20, 2001 to April 26, 2005
  • Kuhns Brothers Securities in Lime Rock, Connecticut— from November 25, 2002 to March 24, 2003
  • Sands Brothers & Company in New York, New York— from November 10, 1999 to July 9, 2001

Kevin Wilson is a registered broker with 45 U.S. states, according to Kevin Wilson’s FINRA BrokerCheck Report.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Kevin Wilson’s alleged acts of unauthorized trading, unsuitability, and over-concentration. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Kevin Wilson’s alleged acts of unauthorized trading, unsuitability, and over-concentration may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.