Kevin Andrew Hunt (CRD #4074976) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Kevin Andrew Hunt (CRD #4074976) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed his BrokerCheck report on March 12, 2026. It reflects one customer dispute. If you invested with Kevin Hunt and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

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

On January 21, 2026, clients’ power of attorney alleged Kevin Hunt recommended an annuity that was unsuitable for their stated financial profile. The claim also alleged the contract was not signed in the correct state. Kevin Hunt’s FINRA BrokerCheck report lists the product as a fixed annuity and the alleged damages as $564,717.51. The matter settled on February 10, 2026, for $564,717.51, and Kevin Hunt’s FINRA BrokerCheck report lists no individual contribution by Hunt. Hunt’s statement says he believed the recommendation was in the client’s best interest and did not know the client was in North Carolina when documents were electronically signed outside the client’s home state of Georgia.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a broker to have a reasonable basis for a recommendation. It also requires the recommendation to fit the customer’s investment profile, including risk tolerance, objectives, and financial needs.

Rule Summary #2: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires firms to use reasonable diligence to know the essential facts about each customer and any person acting on the customer’s behalf. A dispute involving a power of attorney and a claimed mismatch with the client’s profile can raise questions about whether those facts were gathered and confirmed.

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.

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.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

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.

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 his FINRA BrokerCheck report, Kevin Hunt:

Is currently registered with Cambridge Investment Research Advisors, Inc. and Cambridge Investment Research, Inc.

Has passed the Securities Industry Essentials (SIE) exam. Kevin Hunt has also passed Series 6, Series 65, and Series 63.

Was previously registered with firms that include Lincoln Financial Securities Corporation and Horace Mann Investors, Inc.

Kurta Law Can Help

If you have worked with Kevin Hunt and you have concerns about his 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: Unsuitable Investments | Securities Attorney

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.