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Ken Surber is the Subject of a Six-Figure Dispute

Ken Surber (CRD #: 1533864), a broker registered with Edward Jones, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on May 24, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On March 18, 2024, an investor alleged that Ken Surber did not adjust investments in the trust account to preserve the trust’s principal. The investor is seeking $236,000. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to preserve a trust’s principal may violate this rule. 

Background Information 

Ken Surber has passed the following exams: 

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

He is a registered broker in 24 states and D.C. He is a registered investment adviser in Texas and Virginia. 

Kurta Law Can Help 

If you have worked with Ken Surber and 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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