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Kathleen Murphy Allegedly Failed to Follow their Investor’s Instructions

Mar 15, 2022 Investor Disputes

Kathleen Murphy (CRD #: 6598767), a broker registered with Edward Jones, has an investor dispute on her record, according to her BrokerCheck record, accessed on March 2, 2022. Investors who have worked with Kathleen Murphy should keep reading.

On November 15, 2021, an investor alleged that Kathleen Murphy did not follow their instructions to purchase shares of Rivan Automotive (RIVN). FINRA rules require that brokers follow their investor’s instructions. These rules include FINRA Rule 2010, which states that brokers must uphold “high standards of commercial honor and just and equitable principles of trade.”

Background Information

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

She is a registered broker in all 50 states and is a registered investment adviser in Arizona, North Carolina, South Carolina, Texas, and Missouri.

Kathleen Murphy has exclusively registered as a broker with Edward Jones (CRD #: 250).

Kurta Law Can Help

If you have worked with Kathleen Murphy and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.