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Kevin McDougall Named in Allegations of Misrepresentation

Kevin McDougall (CRD #: 1848761), a broker registered with Thurston Springer Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on May 8, 2025. Investors may have also engaged his services through Thurston Springer Advisors. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On February 28, 2025, an investor named Kevin McDougal in allegations of negligent misrepresentation of material facts, violation of federal and state securities statutes, and breach of certain terms and conditions as well as agreements with clients. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence investors’ decisions. Misrepresenting or omitting facts about an investment’s potential returns, risks, tax implications, or other features violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Kevin McDougall has passed the following exams:

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

Kevin McDougall is a registered broker in six states and a registered investment adviser in Florida, Indiana, and Texas.

He has also worked for the following firms:

  • David A. Noyes & Company (CRD#:205)
  • Sanctuary Advisors (CRD#:226606)
  • Wells Fargo Advisors (CRD#:19616)
  • AXA Advisors (CRD#:6627)
  • Morgan Stanley Smith Barney (CRD#:149777)

Kurta Law Can Help

If you worked with Kevin McDougall 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 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. 

 

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