Investors Allege Anna Stotka Recommended Unsuitable Energy Investments
Anna Stotka (CRD #: 1282024), a broker registered with Lincoln Financial Securities, allegedly made unsuitable investment recommendations, according to her BrokerCheck record, accessed on May 3, 2023. If you have questions about her alleged conduct as a broker, keep reading.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the information described in an investor’s profile, including the following characteristics:
- Financial goals
- Risk tolerance
- Time horizon (i.e., how long the investment will be held)
- Investing experience
- Tax status
Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.
Anna Stotka has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Anna Stotka is a registered broker in six states and a registered investment adviser in New Jersey.
She has also worked for the following firms:
- Citigroup Global Markets (CRD#:7059)
- Jefferson Pilot Securities Corporation (CRD#:3870)
- Integrated Resources Equity Corporation (CRD#:6403)
Kurta Law Can Help
If you worked with Anna Stotka 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.