Kelli A Ann Price (CRD #4375153) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Kelli A Ann Price (CRD #4375153) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed her BrokerCheck report on February 9, 2026. It reflects one customer dispute. If you invested with Kelli A Ann Price and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Kelli Price’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On December 15, 2025, a customer alleged Kelli Price placed trades in the account without the customer’s authority. The customer also alleged the activity was not in the customer’s best interest. The disclosure lists the product type as managed/wrap accounts. The customer sought $44,292.35 in damages. FINRA BrokerCheck reflects the matter was denied on January 7, 2026.

Rule Summary #1: FINRA Rule 3260 (Discretionary Accounts)

FINRA Rule 3260 addresses discretionary trading. It requires firms to supervise and review discretionary activity. Disputes about unauthorized trades may raise questions about whether the account was approved for discretion and whether trades matched the customer’s goals.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 sets suitability standards for recommendations. It requires a reasonable basis for each recommendation based on a customer’s profile. When a customer disputes trading activity, suitability and documentation can become key issues.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.
2. Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.
3. Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.
4. Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Kelli Price:

Is currently registered with UBS Financial Services Inc.

Has passed the Securities Industry Essentials (SIE) exam. Kelli Price has also passed Series 7 and Series 66.

Was previously registered with J.J.B. Hilliard, W.L. Lyons, LLC.

Kurta Law Can Help

If you have worked with Kelli Price and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unauthorized Trading | Breach of Fiduciary Duty

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.