Curtis Kroll (CRD 6487481) appears in a pending FINRA arbitration that seeks more than $10,000,000, according to a disclosure filed July 8, 2026. The disclosure names Wells Fargo Advisors as the firm. No arbitrator has ruled, and the allegations remain unproven.
The claimant alleges she received unsuitable investment advice between 2020 and 2025. The claim carries docket 26-01188. In a BrokerCheck statement, Kroll calls the allegations inaccuracies and misrepresentations. The statement also promises a vigorous defense seeking denial of all relief.
BrokerCheck reports for Jeffrey Saster (CRD 1228842), Jonathan Fred Moskowitz (CRD 2335240), Brad Samuel Rude (CRD 2977977), Angela Michelle Fettik (CRD 4710729) and Cameron Edmiston (CRD 6388552) list the same case number.
FINRA's suitability rule asks whether a recommendation fits the customer. Its reasonable-basis part covers whether a product or strategy suits anyone at all. A customer-specific part then looks at the person's age, goals, finances and risk tolerance.
A quantitative part also asks whether the overall trading was excessive. Claims that cover several years, like the one naming Curtis Kroll, can draw on more than one of these parts.
Account statements record holdings, trades, fees and cash balances month by month. Comparing them with the new-account form shows whether the account drifted away from its stated objective.
In our experience, claims about years of advice often turn on how the risk profile changed, or didn't, over time. Updated account forms and annual reviews help show that. Customers in any claim, including the one naming Curtis Kroll, can ask the firm for those records in discovery.
Claims by investors against brokers and their firms are almost always decided in FINRA arbitration, since the customer agreement sends them there instead of to court. The investor starts by filing a statement of claim. The firm and the broker respond with written answers. Next, the parties pick a panel of one or three arbitrators from lists FINRA provides. After that comes discovery, where each side exchanges account records and other documents. A large share of cases resolve in settlement. The cases that go forward end with a hearing and a written award from the panel. Awards are public on FINRA's website, while a settlement amount shows up only on the broker's BrokerCheck report.
Brokerage firms have a duty to supervise the brokers who work for them. If Curtis Kroll handled your account and you have questions, Soreide Law Group can go over it with you. Call (888) 760-6552 or contact us online. Because these claims go to FINRA arbitration rather than a local court, we handle them for investors nationwide. We work on a contingency fee basis. Here is how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of November 7, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Curtis Kroll (CRD 6487481) appears in a pending FINRA arbitration that seeks more than $10,000,000, according to a disclosure filed July 8, 2026. The disclosure names Wells Fargo Advisors as the firm. No arbitrator has ruled, and the allegations remain unproven.
A pending FINRA claim over stock, filed April 17, 2026, names Shawn Martin (CRD 4959418) and lists Citigroup as the firm. The claimant seeks $126,000. No arbitrator has ruled, and the allegations remain unproven.
A Wells Fargo Advisors customer dispute filed June 8, 2026 names Cameron Edmiston (CRD 6388552) in a pending FINRA arbitration. The claimant seeks more than $10,000,000. The allegations remain unproven, and Edmiston disputes them.
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