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Investor Alleges Brian Henson Failed to Follow Instructions

Brian Henson (CRD #: 4286641), a broker registered with Edward Jones, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on August 20, 2022. If you want to know more about his conduct as a broker, read on.

Investor Dispute

On May 6, 2022, an investor alleged that Brian Henson failed to follow his instruction to sell his mutual funds. This dispute was denied by the firm. Mutual fund fraud is a common problem in the securities industry — certain mutual funds come with significant commissions for brokers, creating a potential conflict of interest. 

However, investors should be aware that firms don’t need to allow an outside review before denying a dispute. Investors can still pursue FINRA arbitration and potentially recover their funds after a denial.

FINRA Rule 2010

Failure to follow a client’s instructions violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Brian Henson has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Brian Henson is a registered broker in 25 states and a registered investment adviser in Tennessee.

Kurta Law Can Help

If you worked with Brian Henson 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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