Kari March Allegedly Misrepresented Illiquid Investments

Kari March (CRD #: 4021533), a broker registered with Coastal Equities, allegedly misrepresented investments, according to her BrokerCheck record, accessed on January 10, 2023. Investors may have also engaged her services through Roka Wealth Strategists, Coastal Investment Advisors, or Gulf Coast Advisors. Read on if you want to know more about her alleged conduct as a broker.

Investor Dispute

In a dispute filed on October 14, 2022, several investors alleged that Kari March recommended high-risk and illiquid investments and misrepresented these investments. The clients seek $200,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to consider investors’ profiles when recommending investments. These profiles describe an investor’s tax status, risk tolerance, and other characteristics.

Investors who rely on brokers for investment recommendations can potentially recover their losses by pursuing FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulative, deceptive, and otherwise unethical means to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information

Kari March has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 31 – Futures Managed Funds Examination
• Series 7 – General Securities Representative Examination
• Series 4 – Registered Options Principal Examination
• Series 24 – General Securities Principal Examination

Kari March is a registered broker and a registered investment adviser in Georgia.

She has also worked for the following firms:

• Roka Wealth Strategists (CRD#:143560)
• Triad Advisors (CRD#:25803)
• H&R Block Financial Advisors (CRD#:5979)
• E*Trade Securities (CRD#:29106)

Kurta Law Can Help

If you worked with Kari March 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.