Public records published by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Pinnacle Investments broker Caroline Korn is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Korn (CRD# 4367196).
Caroline Korn has spent 12 years in the securities industry and has been registered with Pinnacle Investments in Rochester, New York since 2014. Previous registrations include Brighton Securities in Rochester, New York (2005-2014) and AG Edwards & Sons in St. Louis, Missouri (2003-2005). She is a registered broker in California and New York.
According to her BrokerCheck report, Caroline Korn has received one regulatory sanction and is the subject of a FINRA investigation.
In April 2014, Caroline Korn was named in a FINRA investigation into allegations stemming from a U-5 filing by her former employer, Brighton Securities, that involved “trading incompatible with firm standards,” high commission fees, and excessive trading. The investigation remains pending.
In 2014, Caroline Korn was discharged from her position at Brighton Securities following allegations she “was trading excessively in several accounts, generating unnecessarily high commission.”
In 2012, FINRA sanctioned Caroline Korn following allegations she exercised discretion in customer accounts with written authorization from those customers or written acceptance from her member firm of those accounts as discretionary. She was issued a 15-day suspension and a fine of $5,000.
If you or someone you have complaints regarding Caroline Korn, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.