Close Menu
Free Consultation: 888-976-6111

Delaina Kucish: FINRA Investigates Edward Jones Advisor

The Financial Industry Regulatory Authority recently conducted an investigation of Morgantown, West Virginia financial advisor Delaina Kucish (CRD# 4401092). FINRA records show that the agency made a determination to recommend action against the Edward Jones broker and an investment advisor, alleging that she provided false information to investigators, among other forms of misconduct.

Ms. Kucish’s BrokerCheck report describes FINRA’s investigation into Ms. Kucish’s conduct. Filed in March 2023, the disclosure states that FINRA “made a preliminary determination to recommend that disciplinary action be brought against.” The action would detail potential violations of FINRA Rules 4511 and 2010 in connection with allegations that she caused a member firm’s books and records; potential violation of FINRA Rule 2010 in connection with allegations that she “provided false information to firm investigators and encouraged another associated person to provide false information to firm investigators”; a violation of Rules 8210 and 2010 in connection with allegations that she provided FINRA with false information in a written response to a letter it sent her requesting information; and finally “violation of FINRA Rules 8210 and 2010 in that she provided false information to FINRA in oral testimony.” Her BrokerCheck report does not reflect any formal disciplinary action taken against her by FINRA in connection with the preliminary determination.

According to the Financial Industry Regulatory Authority, Delaina Kucish holds 21 years of securities industry experience. Based in Morgantown, West Virginia, she has been a broker and an investment advisor with Edward Jones since 2001 and 2007, respectively. She has no previous registrations. Her credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, Florida, Georgia, Illinois, Maryland, Michigan, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia. (Information current as of March 12, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Dick Hagan: $400K Complaint Against MassMutual Advisor

    Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial...

    Read More
  • Tom Ley: Wells Fargo Advisor Faces Investor Complaint

    Toms River, New Jersey financial advisor Tom Ley (CRD# 1127048) recently received an investor complaint alleging that his conduct resulted...

    Read More
  • Steve Nielsen: Bond Complaints Against Centaurus Advisor

    Recent investor complaints against Gilbert, Arizona financial advisor Steve Nielsen (CRD# 4184826) allege that he recommended unsuitable, high-risk investments. Financial...

    Read More
  • Sam Prapaniku: $115K Complaint Against Ex-Bancorp Advisor

    Costa Mesa, California financial advisor Sam Prapaniku (CRD# 5499421) recently received an investor complaint alleging that he recommended unsuitable investments....

    Read More
  • Previous
  • Next