Yvonne Redmond Involved in Investor Dispute

Yvonne Redmond (CRD #: 808830), a broker registered with Equitable Advisors, was involved in an investor dispute, according to her BrokerCheck record, accessed on May 1, 2025. If you have questions about her alleged conduct as a broker, read on.

Investor Dispute

On March 17, 2025, an investor named Yvonne Redmond in a dispute alleging issues with disclosures made about an investment purchased in 2013. The client sought $68,300 in damages but the dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without an external review. It’s still possible to recover damages after a denial and investors may want to pursue FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Yvonne Redmond has passed the following exams:

• General Securities Principal Examination – Series 24
• General Securities Principal Examination – Series 00
• General Securities Representative Examination – Series 7TO
• Securities Industry Essentials Examination – SIE
• Uniform Securities Agent State Law Examination – Series 63

Yvonne Redmond is a registered broker in 12 states and a registered investment adviser in California and Texas.

She has also worked for the following firms:

• LPL Financial (CRD#:6413)
• Kinecta Financial & Insurance Services (CRD#:136597)
• CUNA Brokerage Services (CRD#:13941)
• Financial Network Investment Corporation (CRD#:13572)
• Great Western Financial Securities (CRD#:14229)
• Brentwood Securities (CRD#:7440)
• Kennedy, Cabot & Company (CRD#:2417)
• N. T. Rothschild & Company (CRD#:6859)
• Securities West (CRD#:4898)

Kurta Law Can Help

If you worked with Yvonne Redmond 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.