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Jeffrey Kirkpatrick Under Investigation by SEC

May 31, 2022 Regulatory Action

Jeffrey Kirkpatrick (CRD #: 3069597), a former broker, is the subject of an ongoing SEC investigation, according to his BrokerCheck record, accessed on May 23, 2022. If you have questions about Jeffrey Kirkpatrick’s conduct as a broker, keep reading.

SEC Investigation

On February 24, 2022, the Securities and Exchange Commission opened an investigation into Jeffrey Kirkpatrick regarding allegations related to Section 206(4) of the Investment Advisers Act of 1940. This investigation and regulatory action are currently pending.

The Investment Advisers Act of 1940

The Investment Advisers Act of 1940, shortened as the Advisers Act, defines and regulates registered investment advisers (RIAs). Section 206(4) prohibits advisers from engaging in “any act, practice, or course of business which is fraudulent, deceptive, or manipulative.” 

Background Information

Jeffrey Kirkpatrick has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 31 - Futures Managed Funds Examination
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal Examination

He previously worked for the following firms:

  • LPL Financial (CRD#: 6413)
  • Sterne Agee Financial Services (CRD#: 18456)
  • H&R Block Financial Advisors (CRD#: 5979)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691)

Kurta Law Can Help

If you worked with Jeffrey Kirkpatrick 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.