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Hornor, Townsend & Kent Fires Dennis Ku

Dec 28, 2021 Fired Brokers

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.  

Termination Details 

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.  

Background Information 

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 info@kurtalawfirm.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.