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Beneficiaries Seek $1.2 Million in Dispute with Kathleen Muldoon

Apr 22, 2022 Misrepresentation

Kathleen Muldoon (CRD #: 867826), a broker registered with Raymond James Financial Services, is embroiled in a pending investor dispute, according to her BrokerCheck record, accessed on April 18, 2022. If you want to learn more about Kathleen Muldoon’s conduct as a broker, read on.

Allegations of Misrepresentation

In a dispute filed on January 24, 2022, beneficiaries of a deceased client’s trust alleged that Kathleen Muldoon misrepresented that proceeds from the sale of one of the client’s artworks were required to be deposited in the trust. The beneficiaries seek $1,200,000 in damages in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation and deception. Misrepresentation of investments, including their risks, costs, or requirements, can be a violation of Rule 2020.

Background Information

Kathleen Muldoon 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

Kathleen Muldoon is a registered broker in 14 states and a registered investment adviser in Texas.

She has also worked for the following firms:

  • Raymond James Financial Services (CRD#:6694)
  • Keogler, Morgan & Company, Inc. (CRD#:16546)
  • FSC Securities Corporation (CRD#:7461)
  • Preferential Brokerage Inc. (CRD#:6296)

Kurta Law Can Help

If you worked with Kathleen Muldoon 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.