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Investor Seeks $1.7 Million in Dispute with Audrey Kuwabara

Nov 21, 2022 Negligence

Audrey Kuwabara (CRD #: 5007219), a broker registered with Arque Capital, allegedly violated several securities laws, according to her BrokerCheck record, accessed on November 6, 2022. Read on if you have questions about her conduct as a broker.

Investor Dispute

On September 8, 2022, an investor named Audrey Kuwabara in allegations including, among other things, violation of multiple state and federal securities laws, breach of contract, and negligence. The client alleged that they purchased a number of GWG products starting in 2011. GWG Holdings has since filed for bankruptcy.

The client seeks $1.7 million in this pending dispute.

FINRA Rule 2010

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

What qualifies as broker negligence?

Many kinds of misconduct may qualify as broker negligence. Examples include misrepresentations, unsuitable investment recommendations, and excessive trading. Investors who feel their losses are the result of broker negligence may be able to recover their funds by seeking out FINRA arbitration.

Background Information

Audrey Kuwabara has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

She has also worked for Empire Securities Corporation (CRD#:2826).

Kurta Law Can Help

If you worked with Audrey Kuwabara and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 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.