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Bob Farris is Facing Investor Allegations

Bob Farris (CRD #: 3238929), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 1, 2024. Keep reading if you have questions. 

Investor Allegations

On July 18, 2024, an investor alleged that Bob Farris provided erroneous information related to early withdrawals from his SEP IRA which required him to pay additional taxes and incur other expenses related to his higher income bracket. The dispute was denied, but investors should be aware that they can still recover losses following a denial. 

Background Information 

Bob Farris has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker in 34 states and is a registered investment adviser in Colorado. 

During his 25 years of experience, Bob Farris registered with three firms: 

  • Wells Fargo Clearing Services (CRD #: 19616) 
  • A.G. Edwards & Sons (CRD #: 4) 

Kurta Law Can Help 

If you worked with Bob Farris 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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