Investor Alleges Brittany Gautreau Violated Washington Securities Statutes
Brittany Slater-Gautreau (CRD #: 4885737), a broker registered with American Trust Investment Services, allegedly violated state regulations, according to her BrokerCheck record, accessed on February 7, 2023. Investors may have also engaged her services through Clarity Capital Partners. Read on to learn more about her alleged conduct as a broker.
On October 5, 2022, an investor filed a dispute alleging that Brittany Slater-Gautreau violated the suitability rule and Washington securities statutes, and breached her contract. The client seeks $50,000 in damages in this pending dispute.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. These profiles contain information such as investors’ risk tolerance, tax status, and overall financial situation.
Investors who rely on brokers for investment recommendations can potentially recover their losses by pursuing FINRA arbitration.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
What are blue sky laws?
Blue sky laws are state-level regulations that provide investors with additional protection against fraudulent securities offerings and schemes.
Brittany Slater-Gautreau has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 65 – Uniform Investment Adviser Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Brittany Slater-Gautreau is a registered broker in seven states and a registered investment adviser in California, Idaho, Texas, and Washington.
She has also worked for the following firms:
- WestPark Capital (CRD#:39914)
- Niagara International Capital (CRD#:135327)
- Alpha Cubed Investments (CRD#:159347)
Kurta Law Can Help
If you worked with Brittany Slater-Gautreau and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.