Investor Alleges Andy Dugacki Involved in Unsuitable Mutual Fund Investments
Andy Dugacki (CRD #: 6741152), a broker registered with J.P. Morgan Securities, was involved in a recent dispute, according to her BrokerCheck record, accessed on June 9, 2022. Read on to learn more about Andy Dugacki’s conduct as a broker.
On April 28, 2022, an investor named Andy Dugacki in allegations related to unsuitable mutual fund investments on August 26, 2021. The client sought $80,000 in damages but the dispute was denied by the firm.
However, investors should know that firms can deny disputes without a third-party review. Investors can still pursue FINRA arbitration and potentially recover their losses after a denial.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to recommend securities that adequately suit investors’ profiles. These profiles describe an investor’s age, tax status, investment goals, and other information.
Investors who rely on brokers for recommendations can potentially recover their losses by pursuing FINRA arbitration.
Andy Dugacki has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Andy Dugacki is a registered broker in nine states and a registered investment adviser in California and Texas.
She has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).
Kurta Law Can Help
If you worked with Andy Dugacki and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.