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Investor Names Cynthia Keverian in Dispute Alleging Misrepresentation

Cynthia Keverian (CRD #: 5404117), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly made a misrepresentation, according to her BrokerCheck record, accessed on October 14, 2022. Keep reading if you want to know more about her conduct as a broker.

Investor Dispute

On July 14, 2022, an investor alleged that Cynthia Keverian made a misrepresentation in July 2022. This dispute is pending.

FINRA Rule 2020

FINRA Rule 2020 bans the use of deception, manipulation, and other fraudulent means of influencing investors’ decisions. This includes the misrepresentation or omission of information related to investments.

FINRA Rule 2010

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

Background Information

Cynthia Keverian has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Cynthia Keverian is a registered broker in eight states and a registered investment adviser in California and Texas.

She has also worked for Transamerica Financial Advisors (CRD#:16164) and Wells Fargo Investments (CRD#:10582).

Kurta Law Can Help

If you worked with Cynthia Keverian 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. 

 

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