Brandon Asher Subject of Investor Dispute

Brandon Asher (CRD #: 5924831), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on April 16, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute

On December 14, 2023, an investor alleged that Brandon Asher made recommendations that were not in their best interest.  The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. Investors can still recover their losses following a dispute. 

What is Regulation Best Interest? 

Regulation Best Interest expands on the requirements of FINRA Rule 2111, which defines suitable investment recommendations. In addition to limiting their recommendations to investments that suit their investors’ needs, brokerage firms must also uphold a Duty of Care, the Conflict of Interest Obligation, and the Disclosure Obligation. Firms must also research the market for investments that could offer similar benefits at a lower cost before making a recommendation. 

Background Information 

Brandon Asher 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 31 states and is a registered investment adviser in California and Texas. 

During his 12 years of experience, Brandon Asher has registered with two firms: Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) and Morgan Stanley (CRD #: 149777). 

Kurta Law Can Help 

If you have worked with Brandon Asher and 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.