Karen S. Cunningham
Investigation
March 2023- Oklahoma City, OK
According to publicly available records Karen Shaw Cunningham, a broker with Kestra Investment Services, discloses a pending customer suit.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In August of 2022, in Oklahoma County case #CJ-2022-3660, filed by a Kestra Investment Services customer alleges that Cunningham knowingly made an unsuitable recommendations and failed to make applicable disclosures regarding commissions and risks associated with the investment. Claimant believes that Cunningham misrepresented the investment and is seeking damages of $150,000.
Cunningham has been employed with Kestra Investment Services/ Kestra Advisory Services since August of 2001.
If you have questions about an investment account with Karen Shaw Cunningham , call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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