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Keith Gebert Allegedly Engaged in Dishonest or Unethical Practices

Mar 29, 2022 Fired Brokers

Keith Gebert (CRD #: 5340558), an investment adviser and previously registered broker with NY Life Securities LLC, allegedly engaged in dishonest or unethical practices according to his BrokerCheck record, accessed on March 28, 2022.

Regulatory Actions

On February 24, 2022, the New Jersey Bureau of Securities initiated regulatory action against Keith Gebert for allegedly engaging in dishonest or unethical practices while working as an investment advisor at Rightbridge Private Capital, LLC (CRD #: 288836) and AE Wealth Management, LLC (CRD #:282580).

If you suffered investment losses as a result of your financial advisory breaching a fiduciary duty, you could recover your losses in FINRA arbitration. Understanding what constitutes broker misconduct or a breach of FINRA rules comes with many years of handling securities fraud cases. Kurta Law is a nationally recognized securities law firm with over 25 years of experience litigating securities fraud cases.

New Jersey fined Keith Gebert $7,500.

On March 7, 2019, the Oregon Division of Financial Regulation alleged Keith Gebert impersonated an investor on the phone to transfer the investor’s funds into the account of his associate.

Oregon fined Keith Gebert $20,000.

Employment Termination

On March 25, 2019, AE Wealth Management fired Keith Gebert following allegations of inappropriate activity with a customer account.

Background Information

Keith Gebert has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7 – General Securities Representative Examination

In addition to NY Life Securities LLC, he was previously a registered broker at the following firms:

  • AXA Advisors, LLC (CRD #: 6627)
  • Newbridge Securities Corporation (CRD #: 104065)
  • Meyers Associates, L.P. (CRD #: 34171)

Kurta Law Can Help

If you have worked with Keith Gebert and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirmn.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.