Laurie Kampman Subject of Regulatory Action in Missouri

Laurie Kampman (CRD #: 2698601), a broker registered with Raymond James & Associates, is the subject of a regulatory action. This disclosure appears on her BrokerCheck record, accessed on September 28, 2023. Details are provided below. 

On July 25, 2023, the State of Missouri, Securities Division alleged that Laurie Kampman failed to disclose and resolve inaccurate details on her U4. The Financial Industry Regulatory Authority (FINRA) requires brokers to disclose details regarding their employment history and disciplinary actions on their Form U4. Missouri alleges that she violated MO Enforcement Section 409.4-406(b) and 15 CSR 30-51.160(3)(A).

Laurie Kampman neither admits nor denies the allegations but agreed to resolve the matter via Consent Order. She also consented to pay an $8,000 fine. 

Why Do States Have Securities Regulations? 

Blue Sky laws are state securities regulations that provide investors with an extra layer of protection against fraud. They frequently also define what investments qualify as securities in the state.

Background Information 

Laurie Kampman has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 99TO Operations Professional Examination 
• Series 7 General Securities Representative Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 

She is a registered broker in all 50 states, D.C., Puerto Rico, and the Virgin Islands. 

During her 24 years of experience, she has registered with three firms: 

• Raymond James & Associates (CRD #: 705)  
• Morgan Keegan & Company (CRD #: 4161) 
• Wachovia Securities (CRD #: 19616) 

Kurta Law Can Help

If you worked with Laurie Kampman 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.