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Debra Clark Involved in Investor Dispute

Mar 25, 2022 Misrepresentation

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.