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Ashley Thompson Allegedly Failed to Follow Instructions

Ashley Thompson (CRD #: 5208583), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 22, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 18, 2024, an investor alleged that Ashley Thompson failed to follow instructions. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information 

Ashley Thompson has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

She is a registered broker and investment adviser in Georgia and is a registered investment adviser in Michigan. 

During her 17 years of experience, Ashley Thompson has registered with two firms: 

  • LPL Financial (CRD #: 6413) 
  • Benedict Finacial Advisors (CRD #: 116690) 

Kurta Law Can Help 

If you worked with Ashley Thompson 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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