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Aubrey Currington Subject of an Investor Dispute

Aubrey Currington (CRD #: 5954933), a broker registered with Merrill Lynch, is the subject of an investor dispute. This dispute appears in his BrokerCheck record, accessed on September 15, 2023. Keep reading for more details. 

On July 31, 2023, an investor alleged Aubrey Currington had executed unauthorized purchases of annuities.

Annuities are insurance policies. Certain types of annuities, like variable annuities, may come with an investment component. 

FINRA Rule 3260

FINRA Rule 3260 limits discretionary trading by brokers to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm. Discretionary trading that takes place in an account that has not been approved is unauthorized.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3260 also violate this rule. 

Background Information 

Aubrey Currington has passed the following exams: 

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

He is a registered broker in 14 states and is a registered investment adviser in California and Texas. 

During his 12 years of experience, he has exclusively registered with Merrill Lynch, Pierce, Fenner & Smith. 

Kurta Law Can Help

If you worked with Aubrey Currington and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 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.

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