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Delaina Kucish Subject of FINRA Investigation

Delaina Kucish (CRD #: 4401092), a broker formerly registered with Edward Jones, was recently investigated by FINRA, according to her BrokerCheck record, accessed on May 16, 2023. Read on if you want to know more about her alleged conduct as a broker.

FINRA Investigation

On March 8, 2023, FINRA made a preliminary determination to recommend disciplinary action against Delaina Kucish.

FINRA alleged that she caused her firm to maintain inaccurate books and records, provided false information to firm investigators and encouraged another person to do so, and provided false information to FINRA in both a written response and oral testimony.

FINRA further alleged that Delaina Kucish violated FINRA Rules 4511, 8210, and 2010.

FINRA Rule 4511

FINRA Rule 4511 requires that firms maintain accurate books and records.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

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

Background Information

Delaina Kucish 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

She previously worked for Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Delaina Kucish 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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