Curt Howard Investigation
November 2021-Sapulpa, OK
According to publicly available records Curtis Lee Howard , a stockbroker who formerly worked for Edward Jones and who is currently registered with Level Four Financial, disclose a prior customer dispute, a currently pending customer dispute and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the currently pending case filed in Dallas County, TX, a customer of Edward Jones is seeking damages of $1 million and alleges that Howard breached his fiduciary duty, committed fraud , breached the duty of good faith and fair dealing and other claims related to handling of the account starting in 2015.
Curtis Howard was employed by Edward Jones from 7/1985 until 9/2017 when he was discharged by Edward Jones who makes the following allegation on Howard’s FINRA record: “Mr. Howard’s employment was terminated by the Firm’s HR Department. Concerns had been raised relating to professionalism and judgment.”
Curtis Howard discloses a business affiliation with Phoenix Wealth Partners, LLC, and Harbor Financial Services of Mobile, AL.
If you have questions about an account in an account handled by Curtis Howard , contact us for a no charge consultation to discuss your legal options.
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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