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Brian Hamm Allegedly Gave Inaccurate Advice About Trust’s Tax Liabilities

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
June 30, 2023 at 6:57pm

Brian Hamm (CRD #: 5801533), a broker registered with J.W. Cole Financial, is the subject of a pending dispute, according to his BrokerCheck record, accessed on June 21, 2023. Investors may have also engaged his services through J.W. Cole Advisors. If you have questions about his alleged conduct as a broker, keep reading.

Pending Dispute

On April 24, 2023, a trustee alleged that Brian Hamm provided inaccurate advice concerning tax liabilities caused by disbursement of funds from the trust. They seek $150,000 in this pending dispute.

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

Brian Hamm 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

Brian Hamm is a registered broker in Minnesota and Wisconsin. He is also a registered investment adviser in Wisconsin.

He has also worked for Mutual of Omaha Investor Services (CRD#:611).

Kurta Law Can Help

If you worked with Brian Hamm 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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