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Kelly Rose Allegedly Executed Unauthorized Transactions

Kelly Rose (CRD #: 2165846), a broker registered with Pruco Securities, is involved in a pending investor dispute, according to her BrokerCheck record, accessed on February 22, 2023. Investors may have also worked with her through Prudential Financial Planning Services. If you have questions about her alleged conduct as a broker, keep reading.

Investor Dispute

On December 29, 2022, an investor alleged that Kelly Rose executed unauthorized transactions and an unauthorized contract change. This dispute is currently pending.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which restricts brokers from exercising their trading discretion beyond pre-approved discretionary accounts.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Kelly Rose has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Kelly Rose is a registered broker in 12 states and a registered investment adviser in Colorado and Texas.

She previously worked for Fortis Investors (CRD#:421).

Kurta Law Can Help

If you worked with Kelly Rose and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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. 

 

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