Jonna Keller Allegedly Misrepresented Investments

Jonna Keller (CRD #: 1983864), a broker registered with Osaic Wealth, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 15, 2024. Keep reading if you have questions regarding this dispute. 

Investor Dispute

On January 8, 2024, an investor alleged that Jonna Keller misrepresented investments. The investor further alleged negligence and that the firm’s supervision was inadequate. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees. Brokers must always disclose the risks associated with illiquid investments, such as early withdrawal fees. 

Failure to Supervise 3110

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. Their systems of supervision should be able to catch negligence. 

Background Information 

Jonna Keller has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination

She is a registered broker in 30 states and is a registered investment adviser in Connecticut, Florida, Georgia, Maine, Maryland, and Pennsylvania. 

During her 24 years of experience, she has registered with seven firms: 

• Osaic Wealth (CRD #: 23131) 
• SagePoint Financial (CRD #: 133763) 
• SPC (CRD #: 110692) 
• Sigma Financial Corporation (CRD #: 14303) 
• First Security Investments (CRD #: 24035) 
• Tower Equities (CRD #: 16195) 
• American General Securities (CRD #: 13626) 

Kurta Law Can Help 

If you have worked with Jonna Keller and you have concerns about your investments, do not hesitate to contact us 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 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. Do not let securities fraud go unchecked. Start your recovery process today.