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Investor Alleges Kaitlyn Garrison Failed to Explain Consequences of Liquidation

Kaitlyn Garrison (CRD #: 7217139), a broker registered with Equitable Advisors, is the subject of a pending dispute, according to her BrokerCheck record, accessed on March 15, 2023. Read on if you have questions about her alleged conduct as a broker.

Investor Dispute

On February 10, 2023, an investor filed a dispute alleging that Kaitlyn Garrison failed to explain that a non-qualified account liquidation would lead to a taxable event. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deception, manipulation, and other fraudulent tactics to influence the purchase and sale of securities. Misrepresenting or omitting information about an investment’s requirements, fees, or other features violates this rule.

FINRA Rule 2010

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

Background Information

Kaitlyn Garrison has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

Kaitlyn Garrison is a registered broker in 18 states and a registered investment adviser in Colorado, South Carolina, and Wyoming.

Kurta Law Can Help

If you worked with Kaitlyn Garrison 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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