Victim of Financial Fraud? Call Now
Home » Broker Blog » Debra Clark Involved in Investor Dispute

Debra Clark Involved in Investor Dispute

Debra Clark (CRD #: 1987661), a broker and investment advisor registered with Hornor, Townsend & Kent, was involved in an investor dispute, according to her BrokerCheck record, accessed on March 19, 2022. 

Investor Allegations 

On January 7, 2022, Debra Clark was involved in an investor dispute alleging violation of FINRA/NYSE rules, breach of contract, negligence, failure to supervise, and misrepresentation after recommending alternative investments. The investor also alleged that she made an unsuitable recommendation to hold an investment. 

The investors are seeking $105,000一the case is still pending.

Background Information

Debra Clark has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

She is a registered broker in 22 states and is a registered investment advisor in Connecticut and Texas. 

Debra Clark has also worked with the following firms:

  • Equity Services (CRD#:265)
  • Sentinel Financial Services Company (CRD#:31175)
  • A. G. Edwards & Sons (CRD#:4)
  • First Albany Corporation (CRD#:298)

Kurta Law Can Help

If you have worked with Debra Clark and have concerns about your investments, don’t hesitate to contact us today 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 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. 

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories