DID KATHY JEAN KOESTER CAUSE YOU INVESTMENT LOSSES?
Kathy Koester Formerly With LPL Financial LLC was terminated on July 12, 2024, due to allegations involving account signatures.
Who is Kathy Koester formerly with LPL Financial LLC?
Kathy Koester (CRD #1210107) who was formerly registered as a broker with LPL Financial LLC and located in Plattsburgh, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kathy Koester Customer Employment History
Kathy Jean Koester has a long-standing career in the securities industry, spanning over 40 years. She was most recently registered with LPL Financial LLC from February 2018 until her termination in July 2024. Prior to that, she spent more than three decades with Invest Financial Corporation, starting in December 1983. Koester has passed three industry exams, including two general industry/product exams and one multi-state securities law exam. She is currently not registered with any firm. In addition to her securities work, Koester has been involved in non-investment-related activities, including teaching as an adjunct professor and directing a dance studio.
Allegations Against Kathy Koester
Kathy Jean Koester has two disclosure events on her record:
Employment Termination: On July 12, 2024, Koester was discharged from LPL Financial LLC due to allegations of submitting account documents containing non-genuine signatures.
Customer Dispute (Settled): In December 2011, a customer filed a dispute related to the purchase of a CIT Group note in February 2008, which was sold at a loss in October 2009. The customer sought $20,000 in damages, and the dispute was settled in January 2013 for $6,500. Koester did not contribute personally to the settlement.
Kathy Koester Red Flags & Your Rights As An Investor
Of course, Kathy Koester did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers coupled with the recent termination are red flags which should put all current and former customers of Kathy Koester at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kathy Koester has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Kathy Koester
If you have questions about LPL Financial LLCand/or Kathy Koester and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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