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Brett Wooten Subject of Investor Dispute

Brett Wooten (CRD #: 5928719), a broker registered with PFS Investments, is involved in an investor dispute, according to his BrokerCheck record, accessed on October 31, 2024. Investors may have also worked with him through Primerica Advisors. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

In a pending dispute filed on August 20, 2024, an investor alleged that Brett Wooten failed to identify that the client had fallen victim to a scam. The investor seeks $365,000 in damages.

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

Brett Wooten 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 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

Brett Wooten is a registered broker in 21 states and a registered investment adviser in Georgia and Texas.

Kurta Law Can Help

If you worked with Brett Wooten 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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