Beneficiaries Seek $1.2 Million in Dispute with Kathleen Muldoon
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
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 email@example.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.