Kim Kunz Allegedly Omitted Facts About Unsuitable Investment

Kim Kunz (CRD #: 718618), a broker registered with WestPark Capital, allegedly failed to fully inform a client, according to her BrokerCheck record, accessed on November 19, 2022. Read on if you have questions about their conduct as a broker.

Investor Dispute

On August 17, 2022, an investor alleged that Kim Kunz omitted facts about an unsuitable investment. The client alleges that the company offering the investment later filed for bankruptcy. The investor seeks $200,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must take into account the information in an investor’s profile, such as their age, risk tolerance, and tax status.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds by pursuing FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent means of influencing investors’ decisions. The omission of material facts related to investments violates this rule.

Tax Liens

From 2019-2020, Kim Kunz was subject to tax liens totaling $127,400.55.

Background Information

Kim Kunz has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 62 – Corporate Securities Limited Representative Examination
• Series 1 – Registered Representative Examination
• Series 24 – General Securities Principal Examination

Kim Kunz is a registered broker in 10 states.

She has also worked for the following firms:

• VFG Securities (CRD#:15121)
• Financial Advisers of America (CRD#:142170)
• Financial West Group (CRD#:16668)
• Financial West Investment Group (CRD#:17869)
• Titan Capital (CRD#:6359)
• First American National Securities (CRD#:10111)
• Integrated Resources Equity Corporation (CRD#:6403)

Kurta Law Can Help

If you worked with Kim Kunz 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 and 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.