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Kathy Borkovec is Involved in a Forgery Dispute

Kathy Borkovec (CRD #: 1867575), a broker registered with Charles Schwab & Co., is the subject of an investor dispute. This dispute appears on her BrokerCheck record, accessed on December 21, 2023. Keep reading if you have questions regarding her alleged conduct. 

On November 8, 2023, an investor alleged that Kathy Borkovec was involved in the forgery of a beneficiary form and adding a power of attorney by notarizing her forged signature in 2020. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Forgery violates this rule. 

Background Information 

Kathy Borkovec 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 
  • Series 26 Investment Company Products/Variable Contracts Principal Examination 

She is a registered broker in 29 states and is a registered investment adivser in Illinois and Texas. 

During her 33 years of experience, she has registered with 11 firms. These are the two most recent:

  • Charles Schwab & Co. (CRD #: 5393) 
  • Vision Investment Services (CRD #: 628) 

Kurta Law Can Help 

If you have worked with Kathy Borkovec and have concerns about your investments, do not hesitate to contact us 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 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. Do not let securities fraud go unchecked. Start your recovery process today.

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