Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 30, 2018 indicate that Washington-based Raymond James & Associates broker/adviser Kathleen Hobart has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hobart (CRD# 1562513).
Kathleen Hobart has spent 30 years in the securities industry and has been registered with Raymond James & Associates in Seattle, Washington since May 2017. Previous registrations include Morgan Stanley in Bellevue, Washington (2009-2017); Citigroup Global Markets in Bellevue, Washington (2009); UBS Financial Services in Seattle, Washington (1999-2009); and Dean Witter Reynolds in Purchase, New York (1987-1999). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 10, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 7, 1987; Series 3 (National Commodity Futures Examination), which she obtained on September 10, 1993; Series 7 (General Securities Representative Examination), which she obtained on November 21, 1987; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which she obtained on January 7, 1993. She is a registered broker and investment adviser with 23 US states and territories: Alaska, Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Maryland, Massachusetts, Michigan, Mississippi, Montana, Nevada, New Mexico, New York, Ohio, Oregon, Texas, Utah, Virginia and Washington. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two denied customer complaints.
In November 2017 a customer alleged Kathleen Hobart, while employed at Raymond James & Associates, breached contract, acted negligently, and breached her fiduciary duty. The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer alleged Kathleen Hobart, while employed at Morgan Stanley Smith Barney, recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
In 2013 a customer alleged Kathleen Hobart, while employed at Morgan Stanley Smith Barney, recommended an unsuitable annuity investment. The complaint settled for more than $19,200.
In 2004 a customer alleged Kathleen Hobart, while employed at UBS Financial Services, misrepresented material facts. The customer sought unspecified damages in the complaint, which was denied.
If you have lost money investing with Kathleen Hobart, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets 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.