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Kathy Koester Terminated by LPL Financial

Kathy Koester (CRD #: 1210107) has been fired by LPL Financial. This is according to his BrokerCheck record, accessed on September 13, 2024. Keep reading if you have questions regarding her alleged conduct. 

Employment Separation After Allegations 

On July 12, 2024, LPL Financial fired Kathy Koester following allegations that she submitted account documents containing non-genuine signatures. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Submitting documents with non-genuine signatures violates this rule. 

Background Information 

Kathy Koester has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

During her 40 years of experience, Kathy Koester has registered with two firms: LPL Financial (CRD #: 6413) and Invest Financial Corporation (CRD #: 12984). 

Kurta Law Can Help 

If you worked with Kathy Koester and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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