Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Carson (Carson), previously associated with Principal Securities, INC., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Carson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 09, 2024.
Respondent Carson failed to pay fines of $5,000 in FINRA Case #2022074541501.