Hornor, Townsend & Kent Fires Dennis Ku
Dennis Ku (CRD #: 4617869), a broker registered with San Blas Securities, was recently fired from his position at Hornor, Townsend & Kent, according to his BrokerCheck record, accessed on November 29, 2021.
On October 12, 2021, Hornor, Townsend & Kent fired Dennis Ku following allegations that he violated member firm's policies by (1) overcharging clients for commission fees in excess of $80,000; and (2) marking trades as unsolicited when trades were actually solicited.
Marking trades as unsolicited when they were solicited is a violation of FINRA Rule 2010, which states that brokers must observe high standards of commercial honor and just and equitable principles of trade.
Dennis Ku has passed the following exams:
- Series 66 - Uniform Combined State Law Examination
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 7 - General Securities Representative Examination
- Series 6 - Investment Company Products/Variable Contracts Representative Examination
He is a registered broker in California and Michigan.
Dennis Ku has also worked with the following firms:
- Bankers Life Advisory Services (CRD#:281285)
- Bankers Life Securities (CRD#:173962)
- Proequities (CRD#:15708)
- Uvest Financial Services Group (CRD#:13787)
- Allstate Financial Services (CRD#:18272)
- Foresters Equity Services (CRD#:18464)
Kurta Law Can Help
If you lost money while working with Dennis Ku, don't hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.