Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors are encouraged to continue reading to learn more about disclosures involving Kerrie Best.
Specifically, on April 20, 2026, a Raymond James Associates Inc. client filed a complaint about Kerrie Best. Primarily, the client alleged that Best failed to provide active management services while continuing to collect advisory fees. Because of this, the client allegedly incurred damages associated with mutual funds. Therefore, the client requested $30,000 in compensation from Raymond James Associates Inc. or Best. The complaint was denied on May 13, 2026.
Also, a client of Raymond James Associates Inc. contested Kerrie Best’s sales practices, according to a complaint. Allegedly, Best made misrepresentations involving auction rate securities connected to closed-end funds. It appears that Best allegedly caused the client to sustain damages. As a result, Raymond James Associates Inc. agreed to settle the matter on August 15, 2011, by compensating the client in the amount of $50,000.
Particularly, a client of Morgan Stanley Dean Witter contested Best’s sales practices, according to a complaint dated August 12, 2009. Allegedly, Best engaged in private securities transactions. It appears that Best allegedly caused the client to incur damages tied to private placements. Consequently, the client sought compensation from Morgan Stanley Dean Witter or Best in the amount of $50,000 in this matter. The firm reported that the complaint was denied on October 1, 2009.
Additionally, a client of Morgan Stanley DW Inc. contested Best’s sales practices, according to a complaint dated February 23, 2007. Allegedly, Best failed to fully explain an annuity investment, including surrender charges associated with the annuity purchased by the client. It appears that Best allegedly caused the client to experience damages linked to annuities. Therefore, the client sought compensation from Morgan Stanley DW Inc. or Best in this matter. The firm reported that the complaint was denied on April 17, 2007.
Are you worried about investments you made through Kerrie Best? You can contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the US. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Best and brokerage firms Best worked for deny allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
Phone:
Fax: 1-954-760-6553
Email: [email protected]