FINRA Bars Kimberly Clark for Alleged Refusal to Provide Information

Kimberly Clark (CRD #: 4312757), a broker formerly registered with Ameriprise Financial Services, has been barred by FINRA, according to her BrokerCheck record, accessed on November 13, 2024. If you have questions about her alleged conduct as a broker, keep reading.

Bar by FINRA

On October 9, 2024, Kimberly Clark consented to the entry of findings that she allegedly refused to provide documents and information requested in connection with a FINRA investigation into an amended Form U5 (Uniform Termination Notice for Securities Industry Registration) filed by Ameriprise Financial Services.

A Letter of Acceptance, Waiver & Consent (AWC) alleged that the amended Form U5 disclosed that she resigned while under review by the firm for alleged misuse of funds related to an outside business activity.

The AWC concluded that the alleged refusal to provide documents and information violated FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 2010

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

Sanctions

Kimberly Clark was permanently barred by FINRA starting on October 9, 2024. You can access the full AWC here.

Outside Business Activities

Kimberly Clark’s detailed BrokerCheck page lists the following outside business activities:

• Member of the Board of Directors and Treasurer of Columbia Borough Athletic Association, a non-profit sports organization in Pennsylvania
• Employee of Certainty of Uncertainty, LLC

Background Information

Kimberly Clark 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 31 – Futures Managed Funds Examination
• Series 7 – General Securities Representative Examination

She previously worked for the following firms:

• Ameriprise Financial Services (CRD#:6363)
• RBC Capital Markets (CRD#:31194)
• Morgan Stanley & Company (CRD#:8209)
• Morgan Stanley DW (CRD#:7556)
• RBC Dain Rauscher (CRD#:31194)
• Wachovia Securities (CRD#:19616)

Kurta Law Can Help

If you worked with Kimberly Clark 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.