Jacque Kuchta Allegedly Recommended Unsuitable Portfolio

Jacque Kuchta (CRD #: 1819415), a broker registered with UBS Financial Services, allegedly made unsuitable investment recommendations, according to his BrokerCheck record, accessed on August 9, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On April 11, 2025, an investor alleged that Jacque Kuchta recommended a portfolio that was unsuitable for her risk tolerance and financial goals. The client further alleged that he failed to act in her best interest. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without an external review.  It’s still possible to recover damages following a denial and investors may want to pursue FINRA arbitration.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles, which describe characteristics such as their risk tolerance, age, and tax status.

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Background Information

Jacque Kuchta has passed the following exams:

• Securities Industry Essentials Examination – SIE
• Futures Managed Funds Examination – Series 31
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Jacque Kuchta is a registered broker in 33 states and a registered investment adviser in Louisiana and Texas.

He has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Jacque Kuchta 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 that 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.