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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.

Investor Disputes

Two pending disputes, filed on February 23, 2023, allege that Anna Stotka gave unsuitable recommendations of oil and gas investments. These disputes seek a total of $95,000 in damages.

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:

  • Age
  • 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.

Background Information

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 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.