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Ashley Caudle is the Subject of an Investor Dispute

Ashley Caudle (CRD #: 5005415), a broker registered with Kestra Investment Services, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on December 7, 2023. Keep reading if you have concerns about her alleged conduct. 

On September 13, 2023, an investor alleged that they did not recognize their e-signature on account documents. The time period for these allegations is from October 2020 to September 2023. 

Denials are fairly common in investment disputes. Firms can deny investor disputes without any external review. Our securities attorneys can still recover losses following a denial via FINRA arbitration

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. E-signing on behalf of customers without their permission would violate this rule. 

Background Information 

Ashley Caudle 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 

She is a registered broker and investment adviser in Texas. She is also a registered broker in Arkansas and Louisiana.

During her 18 years of experience, AshleyCaudle has registered with seven firms: 

  • Kestra Investment Services (CRD #: 42046) 
  • Kestra Advisory Services (CRD #: 283330) 
  • Woodbury Financial Services (CRD #: 421) 
  • BBVA Securities (CRD #: 27060) 
  • BBVA Compass Investment Solutions (CRD #: 17086) 
  • Primevest Financial Services (CRD #: 15340) 
  • Chase Investment Services Corp. (CRD #: 25574) 

Kurta Law Can Help 

If you have worked with Ashley Caudle and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.