Scott Kenneth Scheuren (CRD #3136770) Has Regulatory Action and Customer Dispute Disclosures on FINRA BrokerCheck

Scott Kenneth Scheuren (CRD #3136770) was previously registered in the securities industry. We reviewed his BrokerCheck report on April 23, 2026. It reflects one regulatory event and two customer dispute disclosures. If you invested with Scott Scheuren and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Scott Scheuren’s FINRA BrokerCheck Report reflects one regulatory event disclosure. A summary of the disclosure is below:

On April 24, 2010, Wisconsin initiated a final regulatory action based on delinquent Wisconsin state taxes. Scott Scheuren’s FINRA BrokerCheck states the matter was resolved through a notice of revocation, and the sanction listed is revocation. Scott Scheuren’s FINRA BrokerCheck also states this was not a disciplinary event for violations of any securities law. The record further says the Wisconsin Department of Revenue later issued an occupational license clearance certificate dated September 13, 2010, reflecting satisfactory arrangements on the delinquent tax account.

Investor Disputes / Customer Complaints

Scott Scheuren’s FINRA BrokerCheck Report reflects two customer dispute disclosures. Summaries of the disputes are below:

On February 25, 2026, a customer dispute was reported as pending. A client alleged a request for a check to a bank account was entered into the system but not submitted. Scott Scheuren’s FINRA BrokerCheck states the client also asked for proof of two separate checks and claimed the account was mismanaged despite multiple withdrawals. The record says FINRA sent the complaint on February 25, 2026.

On October 26, 2006, a customer dispute was reported as closed with no action. A customer’s daughter alleged Scott Scheuren sold an insurance policy that was not suitable for the customer. Scott Scheuren’s FINRA BrokerCheck lists requested damages of $54,132. The record states the matter closed with no action.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 bars associated persons from filing incomplete or inaccurate registration information with FINRA. When a disclosure appears on a registration record, investors may ask whether the record was kept complete and current.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for each recommendation. Customer complaints about unsuitable products can raise questions about whether the recommendation matched the investor’s needs, goals, and liquidity concerns.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Scott Scheuren:

Is not currently registered as a broker or investment adviser representative.

Has passed the Series 65 examination.

Was previously registered with firms that include Jonathan Roberts Advisory Group, Inc., FSC Securities Corporation, and Banc One Securities Corporation.

Kurta Law Can Help

If you have worked with Scott Scheuren and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful Resources: Securities Attorney | What Is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. The firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.