Erez Law is interested in speaking with investors who may have suffered losses due to investments with former SCF Investment Advisors, Inc. broker Kimberly Carson (CRD# 5576304) who is accused of investment fraud. She has been registered with Principal Securities, Inc. in San Jose, California since 2020.
Previously, she was registered with:
- SCF Investment Advisors, Inc. in Campbell, California from 2018 to 2020
- Ameriprise Financial Services, Inc. in Campbell, California from 2011 to 2018
Kimberly Carson Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
March 2022. “The plaintiff alleges fraud, negligent misrepresentation, breach of fiduciary duty, and conversion by the registered representative, in that the registered representative deposited the escrow funds from the sale of the plaintiff’s house into an account controlled by the registered representative and then sold her an investment whereby the plaintiff loaned $250,000 to the registered representative’s husband, which would be secured by a deed of trust.” The customer is seeking $250,000 in damages and the case is currently pending. The complaint was regarding promissory notes and took place while she was registered with SCF Investment Advisors, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, SCF Investment Advisors, Inc. may be liable for investment or other losses suffered by Kimberly Carson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.