Edward Kovary Resigned from EarlyBirdCapital
Edward Kovary (CRD #: 2690940), a broker registered with BTIG LLC, recently voluntarily resigned from EarlyBirdCapital. This disclosure appears on his BrokerCheck record, accessed on November 13, 2023. Details regarding the resignation are provided below.
On September 18, 2023, Edward Kovary voluntarily resigned from EarlyBirdCapital following allegations that he failed to return materials with confidential customer information to his firm. He also allegedly failed to sign a certificate attesting to the fact these records had been destroyed.
During the course of a normal review, the firm allegedly discovered that Edward Kovary forwarded the materials to an unapproved unrelated third party, 10 days prior to submitting his resignation. He allegedly also attempted to remove confidential information following the end of his employment with EarlyBird.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Removing confidential customer information may violate this rule.
Firms are required to safeguard their clients’ personal information under Regulation S-P, which restricts firms from disclosing client information to unaffiliated third parties without proper disclosure.
Edward Kovary has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 79TO Investment Banking Registered Representative Examination
- Series 57TO Securities Trader Exam
- SIE – Securities Industry Essentials Examination
- Series 55 Limited Representative-Equity Trader Exam
- Series 7 General Securities Representative Examination
- Series 10 General Securtiies Sales Supervisor – General Module Examination
- Series 9 General Securities Sales Supervisor – Options Module Examination
- Series 24 General Securities Principal Examination
He is a registered broker in 49 states, D.C., and the Virgin Islands.
During his 25 years of experience, Edward Kovary has registered with the following firms:
- BTIG (CRD #: 122225)
- EarlyBirdCapital (CRD #: 28629)
- Advest (CRD #: 10)
- First New York Securities (CRD #: 16362)
- ABN Amro Securities (CRD #: 6540)
- Banc of America Securities (CRD #: 26091)
- Goldman Sachs & Co. (CRD #: 361)
Kurta Law Can Help
If you worked with Edward Kovary and have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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.