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Kelly Durham Fired from RBC Capital Markets

Kelly Durham (CRD #: 4281888), a former broker registered, was fired from her previous firm, according to her BrokerCheck record, accessed on May 1, 2022. Read on if you want to know more about Kelly Durham’s conduct as a broker.

Termination from RBC Capital Markets

On January 4, 2022, Kelly Durham was fired from RBC Capital Markets after allegedly violating the firm’s Employee Alteration and Execution of Client Documents Policy.

FINRA Rule 2010

FINRA Rule 2010 requires brokers to maintain high standards of professional honor. Many actions, including forgery and falsification of documents, qualify as violations of Rule 2010.

Background Information

Kelly Durham has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

In the past, she has worked for the following firms:

  • RBC Capital Markets (CRD#:31194)
  • Calton & Associates (CRD#:20999)
  • Tri-Star Financial (CRD#:32458)
  • Royal Alliance Associates (CRD#:23131)
  • Morgan Stanley & Company (CRD#:8209)
  • Morgan Stanley DW (CRD#:7556)

Kurta Law Can Help

If you worked with Kelly Durham and you have concerns about your investments, please contact us today at 877-600-0098 or 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.