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Kimberly Long Subject of Investor Dispute

Apr 22, 2022 Unauthorized Trading

Kimberly Long (CRD #: 7047188), a broker registered with Edward Jones, was involved in a recent investor dispute, according to her BrokerCheck record, accessed on April 16, 2022. Read on if you want to learn more about Kimberly Long’s conduct as a broker.

Investor Dispute

On January 25, 2021, an investor alleged Kimberly Long stole her money and executed unauthorized trades in her account. This claim was denied after an investigation by the firm.

However, investors should know that firms do not have an obligation to allow a third-party review of disputes. Investors can still pursue FINRA arbitration and potentially recover their losses after a denial.

FINRA Rule 3260

FINRA Rule 3260 prohibits brokers from executing excessive or unauthorized trades in clients’ accounts. Brokers can only exercise their own discretion when trading (i.e., conducting trades without explicit client approval) in discretionary accounts which have been pre-approved by both the client and the firm.

Background Information

Kimberly Long has passed the following exams:

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

Kimberly Long is a registered broker in seven states and a registered investment adviser in Missouri and Texas.

Kurta Law Can Help

If you worked with Kimberly Long 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 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.