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Finra Investigation of Stockbroker, Misrepresentation, Stockbroker Malpractice, StockBroker Misconduct, Texas State Securities Board, UIT (Unit Investment Trust), Unsuitable Investments

Texas Securities Regulator Suspends Registration of Kurt J. Gunter-Austin,TX

December 14, 2020 Rex Securities Law

December 2020-Austin, Texas

The Texas State Securities Board (TSSB) announced that they have suspended the registration of former Stifel Nicolaus/ Wells Fargo financial advisor Kurt Jason Gunter as an investment advisor representative in Texas.

This recently entered Consent Order, follows Gunter’s recent settlement with the Financial Industry Regulatory Authority (FINRA) suspension in connection with Gunter’s unsuitable pattern of short-term trading of Unit Investment Trusts (UITs) in customer accounts.

FINRA found that Gunter recommended that his customers  roll over a UIT before its maturity date to purchase a subsequent series of the same UIT, causing his customers to incur unnecessary commissions. FINRA also found that the switch letters sent to customers contained inaccurate or missing information about the costs associated with the rollovers. FINRA suspended Gunter for 90 days beginning 12/21/2020 and levied a fine of $10,000.

According to publicly available records. Kurt Gunter was employed by Stifel Nicolaus from 6/2013-8/2017 and with Wells Fargo from 8/2017-12/2020. He is not currently registered with any registered broker dealer.

If you have losses in an account handled by Kurt Gunter, we may be able to help you recover damages from his former employer.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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Suffer Investment Losses Due to Corona Virus Market Crash?

If you are a retiree or a person anticipating retirement in the near future who has suffered significant losses due to the devastation to the financial markets caused by the COVID 19 Coronavirus, we may be able to help you recover damages.

Follow this link for more information 

Ex-Pat With Losses in a U.S. Brokerage Account?

If you are a victim of financial advisor malpractice or fraud, we may be able to help you recover damages. Follow this link for more information. Worldwide representation. 

James T. Flynn—Ashley Woodard— Voya Financial-Greenville, S. Carolina

Losses on REITs or other alternative investments? We are currently pursuing cases for a number of customers of former Voya Financial broker Jim Flynn and Ashley Woodard.

Dexter Leroy Thomas- Dallas, TX

We are currently pursuing cases on behalf of a number customers of former National Planning Corp./United Planners Financial Services broker Dexter Thomas of Dallas, TX Follow this link for more information

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    Recent Posts

    • Amarillo Banker Pleads Guilty to Embezzlement-Amarillo,TX
    • Texas Securities Regulator Suspends Registration of Kurt J. Gunter-Austin,TX
    • Texas Securities Regulator Denies Registration of Lyle Boudreaux-Houston,TX
    • Florida Certified Financial Planners Disciplined by CFP Board- September 2020 Update
    • Texas Certified Financial Planners Disciplined by CFP Board- November 2020 Update

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    • The Investment Center
    • The Leaders Group Inc.
    • The O.N. Equity Sales Company
    • The Tidal Group
    • Theft
    • Thoroughbred Financial Services
    • Thrivent Investment Management
    • TIAA-CREF
    • TICs Tenant In Common Investments-1031 Exchanges
    • Tigress Financial Partners
    • Titan Securities
    • Titus Rockefeller
    • TKG Financial
    • TNP Securities
    • Tony Thompson
    • Tower Square Securities
    • Tradespot Markets (Beloyan Investment )
    • Tradewire Securities
    • Transam Securities
    • Transamerica Financial
    • Transcend Capital
    • Triad Advisors
    • Trident Partners
    • Trustmont Finanical Group
    • Tryco Securities
    • Tyratech Inc.
    • U.K. Financial Conduct Authority
    • U.S. Commodity Futures Trading Commission (CFTC)
    • UBS
    • Uhlmann Price Securities
    • UIT (Unit Investment Trust)
    • Ultralat Capital Markets Inc.
    • Unauthorized Access to Account
    • Unauthorized Trading
    • Undisclosed compensation
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    • Union Capital Company
    • UnionBanc Investment Services
    • United Equity Securities
    • United Planners Financial Services
    • United Securities Alliance
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    • Utah Division of Securities
    • UVest Financial Services Group
    • Valic Financial Advisors
    • Vanderbilt Securities
    • Vandham Securities
    • Vanguard Capital
    • Vanguard Marketing Corporation
    • Variable Annuities
    • Variable Universal LIfe (VUL)
    • VCA Securities (formerly Bluffview)
    • Venecredit Securities
    • Veritrust Financial
    • Verity Investments
    • VFG Securities
    • vFinance Investments
    • Viatical Settlements
    • ViewTrade Securities
    • VIrginia SCC Division of Securities and Retail Franchising
    • Voya (formerly ING)
    • VSR Financial Services
    • Wachovia
    • Waddell & Reed
    • Wade j. Lawrence (Southwest Securities)
    • Wadsworth Investment Co.
    • Wall Street Brokerage
    • Wall Street Strategies
    • Wallachbeth Capital
    • Walnut Street Securities
    • Washington State Securities Regulators
    • Waveland Capital Partners
    • Wealth Solutions
    • Weaver Tidwell Capital
    • Wedbush Securities
    • Wells Fargo
    • Wells Notice
    • Wentworth Securities
    • Western Asset
    • Western International Securities
    • Westminster Financial Securities
    • Westpark Capital
    • Westport Resources Investment Services
    • WFG Investments
    • White Weld & Co. Securities
    • Whitehall-Parker Securities
    • Wilbanks Securities
    • William Blair & Company
    • Williams Financial Group
    • Wilmington Capital Securities
    • Wilson-Davis & Co.
    • Windsor Street Capital (formerly Meyers Assoc.)
    • Wisconsin Division of Securities
    • Wm. H. Murphy and Co.
    • WMA Securities
    • Woodbury Financial Services
    • Woodstock Financial Group
    • Worden Capital Management
    • Workman Securities
    • World Choice Securities
    • World Equity Group Securities
    • Worth Financial Group
    • WRP Investments
    • WS Griffith Securities
    • WTS Proprietary Trading Group
    • Wunderlich Securities (now B. Riley Wealth Management)
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