Kevin Doyle is Involved in a Fixed Annuity Dispute

Kevin Doyle (CRD #: 4528305), a broker registered with Ameriprise Financial Services, is the subject of an investor dispute, according to his BrokerCheck record, accessed on September 29, 2023. Keep reading if you have questions about his alleged conduct as a broker. 

On June 29, 2023, an investor alleged he was never informed that the value of his fixed annuity would not grow and that it would tie up his funds. The dispute was denied, but investors should know that firms can deny disputes without any external review. Following a denial, investors may still be able to recover their funds via FINRA arbitration. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments or omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Kevin Doyle has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in nine states and is a registered investment adviser in Rhode Island. 

During 21 years of experience, he has registered with five firms: 

• Ameriprise Financial Services (CRD #: 6363) 
• Edward Jones (CRD #: 250) 
• MML Investors Services (CRD #: 10409) 
• MSI Financial Services (CRD #: 14251) 
• NYLife Securities (CRD #: 5167) 

Kurta Law Can Help

If you worked with Kevin Doyle and 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.