Investor Alleges Deborah Birch Misrepresented Alternative Investment

Deborah Birch (CRD #: 4043371), a broker registered with Cambridge Investment Research, allegedly misrepresented an unsuitable investment, according to her BrokerCheck record, accessed on July 14, 2023. Investors may have also worked with her through Cambridge Investment Research Advisors or Roaring Fork Financial Services. If you want to know more about her alleged conduct as a broker, read on.

Investor Dispute

On June 8, 2023, a client alleged that Deborah Birch misrepresented an alternative investment purchased in 2014 and that this investment was unsuitable. The client seeks $200,000 in damages in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence the purchase and sale of securities. Misrepresenting an investment’s limitations, requirements, or other relevant information violates this rule.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must examine the information described in an investor’s profile, such as their tax status, age, and other investments.

Investors who rely on brokers for investment recommendations can pursue FINRA arbitration and potentially recover their losses.

Background Information

Deborah Birch has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Deborah Birch is a registered broker in nine states and a registered investment adviser in Colorado and Texas.

She has also worked for the following firms:

• Avantax Advisory Services (CRD#:104556)
• Avantax Investment Services (CRD#:13686)
• H&R Block Financial Advisors (CRD#:5979)     
• Birchtree Financial Services (CRD#:15014)

Kurta Law Can Help

If you worked with Deborah Birch 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.