Investigation: Kerbye Arthur, ex-Wells Fargo broker barred by FINRA

The Sonn Law Group is investigating claims involving former Wells Fargo broker associate Kerbye Arthur (Broker CRD Number: 6440268).

Kerbye Arthur was barred from financial services industry on August 10, 2017 by the Financial Industry Regulatory Authority (FINRA) for refusing to comply with a FINRA investigation. According to her BrokerCheck profile, Ms. Arthur failed to provide documents and information to FINRA relating to an investigation into allegations that she had made inaccurate statements on a mortgage gift letter.

Here is the full text of the allegation from Kerbye Arthur’s BrokerCheck profile:

Without admitting or denying the findings, Arthur consented to the sanction and to the entry of findings that she failed to provide FINRA requested documents and information related to her member firm filing a Form U5 indicating that she had voluntarily resigned after allegations that she had made inaccurate statements on a mortgage gift letter she signed in connection with another associated person’s mortgage application.

If you’ve ever invested money with Kerbye Arthur or his employer, the securities fraud attorneys at the Sonn Law Group are interested in speaking with you. Contact us online or by phone at 305.912.3000 for a free consultation.