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Avery Venetta Allegedly Engaged in Unauthorized Trading

Avery Venetta (CRD #: 7154070), a broker registered with UBS Financial Services, allegedly engaged in unauthorized trading, according to her BrokerCheck record, accessed on May 25, 2023. Keep reading if you have questions about her alleged conduct as a broker.

Investor Dispute

On March 23, 2023, a trustee filed a dispute alleging that Avery Ventta engaged in unauthorized trading between January 20, 2023, and the date of filing. This dispute is currently pending.

FINRA Rule 3260

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. The firm must also approve the designation of an account as discretionary before this trading can occur.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Avery Venetta has passed the following exams:

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

Avery Venetta is a registered broker in all 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. She is also a registered investment adviser in New Jersey and North Carolina.

Kurta Law Can Help

If you worked with Avery Venetta 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 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.

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