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Misty Ambrose Allegedly Misrepresented a UMA Program

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 6, 2025 at 2:34pm

Misty Ambrose (CRD #: 4403276), a broker registered with Edward Jones, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on August 6, 2025. Keep reading if you have questions regarding her alleged conduct. 

Investor Dispute 

On April 5, 2025, an investor alleged that Misty Ambrose misrepresented a Unified Managed Account program. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Misty Ambrose has passed the following exams: 

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

She is a registered broker in 14 states and is a registered investment adviser in Nevada and Texas. 

Kurta Law Can Help

If you worked with Misty Ambrose 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. 

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