Kirk Klein Involved in Pending Civil Complaint

Kirk Klein (CRD #: 2260326), a broker formerly registered with Valmark Securities, is the subject of a pending complaint, according to his BrokerCheck record, accessed on September 14, 2025. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On June 15, 2025, an investor named Kirk Klein in a dispute involving another investment adviser. The client seeks $1 million in damages in this pending dispute.

FINRA Rule 2010

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

Civil Complaint

On June 3, 2025, Kirk Klein was named in a civil complaint alleging gross negligence, negligent misrepresentation, and unjust enrichment. This complaint is currently pending.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence investors decisions. This includes the misrepresentation or omission of information, such as an investment’s potential returns, risks, fees, or limitations.

FINRA Rule 2150

FINRA Rule 2150 prohibits the improper use of investors’ funds.

What is broker negligence?

Many types of broker misconduct may qualify as negligence. Common examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and excessive trading.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information

Kirk Klein has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for Valmark Securities (CRD#:31243) and Ascend Financial Services (CRD#:15296).

Kurta Law Can Help

If you worked with Kirk Klein 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.