Carolyn Valentine Named in Dispute Alleging Negligence

Carolyn Valentine (CRD #: 2532412), a broker registered with Cambridge Investment Research, is involved in two pending disputes, according to her BrokerCheck record, accessed on February 1, 2023. If you want to know more about her alleged conduct as a broker, read on.

Investor Dispute

On November 2, 2022, ten investors filed a dispute against four broker-dealers which also names Carolyn Valentine. The investors claim that tenant in common interests offered by Cole Capital Partners were unsuitable. The clients seek $471,746 in this pending dispute.

In a dispute filed on June 18, 2020, an investor alleged that Carolyn Valentine provided incomplete or incorrect tax documents and financial statements in relation to a real estate transaction. The client alleged that this misconduct occurred between May 1, 2015, and June 30, 2017. The client seeks $978,797 in damages.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. An investor’s profile describes their risk tolerance, tax status, and financial goals.

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

FINRA Rule 2020

The misrepresentation and omission of information related to investments violate FINRA Rule 2020, which prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions.

What is broker negligence?

Brokers may act in many negligent ways. Common examples include misrepresenting or omitting information, recommending unsuitable investments, and failing to supervise other brokers.

Investors who feel their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration. 

Background Information

Carolyn Valentine has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 22 – Direct Participation Programs Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Carolyn Valentine is a registered broker in Florida, Montana, North Carolina, Ohio, and South Carolina.

She has also worked for H. Beck (CRD#:1763) and Franklin Financial Services (CRD#:5435).

Kurta Law Can Help

If you worked with Carolyn Valentine 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.