Candice Renee Storm (CRD #2996980) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Candice Renee Storm (CRD #2996980) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed her BrokerCheck report on April 14, 2026. It reflects one customer dispute. If you invested with Candice Storm and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Candice Storm’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On February 6, 2026, a customer alleged Candice Storm wrongfully distributed municipal bonds in less than whole lots to three beneficiaries of a TOD account after the account holder died. Candice Storm’s FINRA BrokerCheck report lists the product as municipal bonds and the claimed damages as $21,390. The matter is pending in FINRA Dispute Resolution Services Arbitration under docket number 26-00099.

Rule Summary #1: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires firms to use reasonable diligence to know the essential facts about each customer and the authority of anyone acting for that customer. A dispute involving TOD beneficiaries and post-death account handling can raise questions about who had authority over the account and how the firm understood those facts.

Rule Summary #2: FINRA Rule 4512 (Customer Account Information)

FINRA Rule 4512 requires firms to maintain key customer account information. When a dispute involves account ownership, beneficiaries, or instructions after a customer’s death, accurate account records can become a central issue.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Candice Storm:

Is currently registered with RBC Capital Markets, LLC.

Has passed the Securities Industry Essentials exam. Candice Storm has also passed Series 7, Series 65, and Series 63.

Was previously registered with D.A. Davidson & Co.

Kurta Law Can Help

If you have worked with Candice Storm and have concerns about your account, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | Investment Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. The firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.