An AWC was issued in which Kevin Dominic Klickna (CRD #5640324) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Klickna consented to the sanctions and to the entry of findings that he forged a customer’s electronic signature on an annuity account application without the customer’s consent and affixed the customer’s signature on a rollover form.
The findings stated that the customer eventually noticed the forgery on the rollover form and complained to Klickna’s member firm. As a result of the documents being firm records, Kevin Dominic Klickna caused the firm to maintain inaccurate books and records.
The suspension is in effect from January 17, 2023, through April 16, 2023. (FINRA Case #2021071200801)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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