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Cindy Price Allegedly Engaged in Unauthorized Trading

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
October 19, 2025 at 7:43pm

Cindy Price (CRD #: 2100246), a broker registered with Equitable Advisors, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on October 19, 2025. Keep reading if you have questions regarding her alleged conduct.

Investor Allegations

On September 3, 2025, an investor alleged that Cindy Price made trades in their account without their knowledge or consent.

Unauthorized Trading

Unauthorized trading violates FINRA Rule 3260, which limits brokers to exercising their trading discretion in pre-approved discretionary accounts.

Background Information

Cindy Price 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 has registered with the following firms:

  • Equitable Advisors (CRD #: 6627)
  • Mony Securities (CRD #: 4386)

Kurta Law Can Help

If you worked with Cindy Price 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 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. 

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