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Andrew LaForce Subject of an Investor Dispute

Andrew LaForce (CRD #: 5785709), a broker registered with Northwestern Mutual Investment Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 9, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 4, 224, an investor alleged that Andrew LaForce did not authorize revisions to her total net worth on her fixed income annuity applications and stated that the initials confirming the revisions were not hers. 

The investor is seeking $138,646.76. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized revisions and forgery violate this rule. 

Background Information 

Andrew LaForce has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 17 states and is a registered investment adviser in Florida. 

Kurta Law Can Help 

If you worked with Andrew LaForce and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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