Kimiko Inoue Allegedly Failed to Execute Transactions

Kimiko Inoue (CRD #: 3018630), a broker previously registered with Raymond James Financial Services, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on August 3, 2025. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On April 1, 2025, an investor alleged that Kimiko Inoue failed to execute transactions and mismanaged an account. The firm denied the dispute, but investors should know that firms can deny disputes without any external review. Investors can still recover losses following a denial. 

The investor is seeking $52,000. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to execute transactions and mismanaging an investor account may violate this rule.

Background Information 

Kimiko Inoue has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• 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 24 General Securities Representative Examination 
• Series 31 Futures Managed Funds Examination 
• Series 24 General Securities Principal Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 

She has registered with the following firms: 

• Raymond James Financial Services (CRD #: 6694) 
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
• Morgan Stanley (CRD #: 149777) 
• CitiGroup Global Markets (CRD #: 7059) 

Kurta Law Can Help

If you worked with Kimiko Inoue and 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.