Last Updated: September 2023 (Rowlett, TX)
Mindy Kirby Investigation Summary
Here’s what you need to know about Rowlett, Texas stockbroker Mindy L. Kirby:
- Name: Ms. Mindy L. Kirby
- Current Employer: Kovack Securities Inc.
- Previous Firms: Securities America Advisors, Securities America Inc.
- Function: Stock Broker / Financial Advisor
- Aliases: Mindy Lea Kirby, Mindy Stenson
- Primary Location: Rowlett, Texas
- CRD 4372660
- Can Mindy L. Kirby be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Ever Discharged by a Prior Employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Allegations of Broker Misconduct Against Mindy Kirby
Securities America, a prior employer of Mindy L. Kirby, discharged her from that firm in 1/2020 for violating the signature policy of the firm in connection with the sale of a variable annuity to a customer. Several months after her discharge, Mindy L Kirby went to work for Kovack Securities Inc. and became a registered investment advisor with Kovack Advisors Inc.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Mindy L. Kirby, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
