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Investor Claims Kevin Slocum Breached His Fiduciary Duty

Dec 28, 2021 Investor Disputes

Kevin Slocum (CRD #:2677689), a broker and investment advisor registered with LPL Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on December 10, 2021.  

According to the investor, Kevin Slocum allegedly committed a violation of the duty of care when a joint account holder was allowed to withdraw funds from the investor's joint account without the investor's signed authorization. The case is still pending.  

One of the most common claims in securities arbitration is that an investment adviser breached their fiduciary duty owed to clients. A fiduciary duty is a legal obligation to act with the utmost good faith, fairness, and honesty in accordance with FINRA Rule 2010. This duty encompasses the duty of care, the duty of loyalty, and the duty of good faith and fair dealing. Investors who have suffered investment losses may be able to hold brokers or advisers accountable for their breach of this responsibility. 

Background Information 

Kevin Slocum 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 
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination 
  • Series 24 - General Securities Principal Examination 

He is a registered broker in 11 states. He is also a registered investment advisor in Pennsylvania. 

Besides LPL Financial, Kevin Slocum has also worked with: 

  • WMA Securities (CRD#:32625) 

Kurta Law Can Help 

If you have worked with Kevin Slocum and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or 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 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.