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Investor Alleges Brett Howell Executed Unauthorized Trades

Mar 2, 2023 Unauthorized Trading

Brett Howell (CRD #: 4157822), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of a pending dispute, according to his BrokerCheck record, accessed on February 21, 2023. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On January 5, 2023, an investor alleged that Brett Howell executed unauthorized trades, made misrepresentations, and failed to follow the client’s instructions. This dispute is currently pending.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which limits brokers to engaging in discretionary trading only in pre-authorized accounts. Both the firm and the client must approve an account before discretionary trading can occur.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive and manipulative tactics to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Brett Howell has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Brett Howell is a registered broker in 36 states and the District of Columbia. He is also a registered investment adviser in Michigan and Texas.

He has also worked for Liberty Life Securities (CRD#:47737).

Kurta Law Can Help

If you worked with Brett Howell and you have concerns about your investments, please contact us today at 877-600-0098 or 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.