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Allegations of Sales Practice Violations Cloud Broker Kenneth Dlouhy ‘s Record

Allegations of Sales Practice Violations Cloud Broker Kenneth Dlouhy ‘s Record on silverlaw.com

FINRA permanently bars Capstone Research Inc. broker from associating with any member firm.

After 22 years in the financial services industry, New Jersey-based broker Kenneth Dlouhy is no longer eligible to associate in any capacity with any FINRA member firm. This permanent suspension comes as a result of Dlouhy’s failure to respond to a FINRA request for information during an investigation.

A closer look at Dlouhy’s BrokerCheck record shows numerous customer disputes dating back to 1998, with the most recent dispute filed in late 2015. Included in many of the disputes are allegations against Dlouhy that include unsuitability, unauthorized trading, misrepresentation, churning, negligence, breach of fiduciary duty, breach of contract and violations of state securities laws. Damage amounts requested against Dlouhy throughout his career exceed $2.2M.

Most recently with Cantone Research Inc. in Tinton Falls, NJ, Dlouhy was previously registered with the following firms:

  • Aegis Capital Corp.
  • Gunnallen Financial Inc.
  • Oppenheimer & Co. Inc.
  • Round Hill Securities, Inc.
  • Ryan Beck & Co.
  • Prudential Securities Incorporated
  • Painewebber Incorporated
  • Olde Discount Corporation
  • Metlife Securites Inc.
  • Metropolitan Life Insurance Company

If you feel you have lost money at the hands of Kenneth Dlouhy, or any other financial advisor, it is recommended that you seek the services of an experienced securities attorney.

The attorneys at Silver Law Group are leaders in the field of FINRA and securities arbitration. We represent individual and institutional investors across the United States that have lost money at the hands of a trusted financial advisor. Our services are provided on a contingency-fee basis, which means we are only compensated if there is a recovery of losses. For more information, contact us for a complimentary consultation.

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