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Did Dario Kerkez Execute Unauthorized Trades?

Mar 11, 2022 Unauthorized Trading

Dario Kerkez (CRD #: 5283327), a broker registered with LPL Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on February 19, 2022. He is also an investment advisor registered with IHT Wealth Management.

According to the allegations filed on December 6, 2021, Dario Kerkez executed unauthorized trades in his client’s advisory accounts which resulted in losses. The firm denied the case. 

Unauthorized trading occurs when a broker executes securities transactions without authorization from their client. Unless an account has been approved for discretionary trading, a broker must always have authorization from an investor before executing any trades. 

Which FINRA laws did Dario Kerkez Allegedly Violate?

FINRA Rule 3260 requires that brokers only execute authorized trades in non-discretionary accounts. FINRA Rule 2010 states unauthorized trades breach the duty to observe high standards of commercial honor and just and equitable principles. 

Background Information

Dario Kerkez 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 3 - National Commodity Futures Examination
  • Series 7 - General Securities Representative Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination

Dario Kerkez is a registered broker in four states. He is also a registered investment advisor in Illinois.

Dario Kerkez has also worked with the following firms:

  • Private Advisor Group (CRD#:155216)
  • MML Investors Services (CRD#:10409)
  • MSI Financial Services (CRD#:14251)
  • Chase Investment Services Corp. (CRD#:25574)
  • Metlife Securities (CRD#:14251)
  • Uvest Financial Services Group. (CRD#:13787)

Kurta Law Can Help

If you have worked with Dario Kerkez and have concerns about your investments, 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.