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Kimberly Keller is the Subject of Conversion Allegations

Kimberly Keller (CRD #: 2804812), a previously registered broker with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on December 7, 2023. Keep reading if you have questions about her conduct as a broker. 

On September 13, 2023, an investor named Kimberly Keller in allegations of misappropriation. 

The investor requested $250,000, but the dispute was denied. Investors should know, however, that firms can deny disputes without any external review. Our securities attorneys can still recover losses following a denial via FINRA arbitration

What is Misappropriation? 

Misappropriation, also known as “conversion,” occurs when a broker takes unlawful control of an investor’s funds. FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation violates this rule. 

Background Information 

Kimberly has passed the following exams: 

  • Series 66 Uniform Combined State 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 

During her 21 years of experience, she has registered with the following six firms: 

  • LPL Financial (CRD #: 6413) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • SunTrust Investment Services (CRD #: 17499) 
  • Trustcore Investments (CRD #: 15423) 
  • Fifth Third Securities (CRD #: 628) 
  • PFIC Securities Corporation (CRD #: 34941) 

Kurta Law Can Help 

If you have worked with Kimberly Keller and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.