Elizabeth Husserl (CRD #6107210) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Elizabeth Husserl (CRD #6107210) is currently registered with Integrity Alliance, LLC. We reviewed her BrokerCheck report on March 17, 2026. It reflects one customer dispute disclosure. If you invested with Elizabeth Husserl and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Elizabeth Husserl’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On January 16, 2026, a customer alleged Elizabeth Husserl mismanaged the customer’s investment advisory account. The customer requested $38,000 in damages. Elizabeth Husserl’s FINRA BrokerCheck Report lists the product type as a managed investment advisory account. The complaint remains pending.

Rule Summary #1: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires firms to use reasonable diligence to know the essential facts about each customer and each account. A dispute about account mismanagement can raise questions about whether the account was handled in line with the customer’s objectives and instructions.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain and enforce a supervisory system that is reasonably designed to achieve compliance. A complaint about account handling can also raise questions about whether the firm had adequate oversight in place.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Elizabeth Husserl:

Is currently registered with Integrity Alliance, LLC as both a broker and an investment adviser representative.

Has passed the Securities Industry Essentials (SIE) exam. Elizabeth Husserl has passed Series 6. She has also passed Series 65 and Series 63.

Was previously registered with firms that include Lion Street Advisors, LLC, Lion Street Financial, LLC, and Ameritas Investment Corp.

Kurta Law Can Help

If you have worked with Elizabeth Husserl and you have concerns about the handling of your account, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.