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Brian Titus Allegedly Failed to Notify Client of Stock Option Expiration

Brian Titus (CRD #: 4229261), a broker registered with Ameriprise Financial Services, allegedly failed to inform a client, according to his BrokerCheck record, accessed on December 23, 2022. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On November 8, 2022, an investor alleged that Brian Titus failed to notify him of the expiration of his vested stock options, which were previously available for him to exercise following his departure from McDonald’s. The client seeks $100,000 in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deception, manipulation, or other fraudulent tactics to influence investors’ decisions. The omission of information related to investments 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

Brian Titus has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Brian Titus is a registered broker in 25 states and a registered investment adviser in Illinois, Ohio, and Texas.

He has also worked for IDS Life Insurance Company (CRD#:6321).

Kurta Law Can Help

If you worked with Brian Titus 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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