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Celia Scott Allegedly Misrepresented an Annuity Income

Celia Scott (CRD #: 2870484), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on March 27, 2024. Keep reading if you have questions concerning her alleged conduct. 

Investor Allegations 

On February 5, 2024, an investor alleged that Celia Scott misrepresented an annuity income benefit. The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 violate this rule. 

Background Information 

Celia Scott has passed the following exams: 

  • Series 65 Uniform Investment Adviser 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 

During her 26 years of experience, she has registered with six firms:

  • LPL Financial (CRD #: 6413) 
  • Good Life Advisors (CRD #: 171898) 
  • AXA Advisors (CRD #: 6627) 
  • AIG Financial Advisor (CRD #: 133763) 
  • SunAmerica Securities (CRD #: 20068) 
  • PFS Investments (CRD #: 10111) 

Kurta Law Can Help 

If you have worked with Celia Scott and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com 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.

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