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Karla Thompson is Involved in a Six-Figure Investor Dispute

Karla Thompson (CRD #: 4328022), a broker registered with Cuso Financial Services, is facing an investor dispute, according to her BrokerCheck record, accessed on September 8, 2021. Keep reading for more details. 

On July 27, 2021, an investor named Karla Thompson in a complaint and alleged that Karla Thompson’s brokerage firm failed to supervise her. FINRA requires firms to supervise their brokers to ensure that they do not engage in financial misconduct. The investor is seeking $175,000; the dispute is pending.

Karla Thompson Background Information

Karla Thompson has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 24 General Securities Principal Examination

She is a registered broker and a registered investment adviser in California.

Karla Thompson has worked with the following firms:

  • Cusco Financial Services (CRD #: 42132)
  • Chalice Capital Partners (CRD #: 288898)
  • Niagara International Capital Limited (CRD #: 135327)
  • Independent Financial Group (CRD #: 7717)
  • Girard Securities (CRD #: 18697)

Kurta Law Can Help

If you worked with Karla Thompson and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.

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