Kory Keath and Edward Jones

Have you lost money with financial advisor Kory Keath of Enumclaw, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kory P. Keath. FINRA brought a regulatory complaint against Kory Keath, alleging that she violated FINRA rules when she failed to disclose to her brokerage firm (Edward Jones) that her daughter and grandson were named as beneficiaries of a customer’s trust.  FINRA also alleges that Keath failed to disclose to Edward Jones that her customer paid for a trip to Egypt in 2010.

Kory Keath was a financial advisor and registered representative of Edward Jones from 1995 to April 2015.  She worked at an Edward Jones’ branch office in Enumclaw, Washington.  She was terminated by Edward Jones in 2015 for the conduct described above.

Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in the Seattle area and Denver, Colorado.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Washington.  Attorney David Neuman is licensed to practice law in the State of Washington.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Edward Jones, LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities AmKorya, National Securities Corp., and many others.

Click to view:  Keath FINRA Comp

Click to view:  Keath BrokerCheck 6.22.16

HAVE YOU LOST MONEY WITH KORY KEATH OR EDWARD JONES?

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

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