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Did Brooke Bordner Fail to Follow Investor Instructions?

Mar 15, 2022 Investor Disputes

Brooke Bordner (CRD #: 5121440), a broker and investment advisor registered with Unionbanc Investment Services, is involved in an investor dispute, according to her BrokerCheck record, accessed on March 1, 2022. 

According to the allegations filed on November 24, 2021, Brooke Bordner failed to follow her client’s instructions with regard to a third party’s request to change a power of attorney. This allegedly resulted in losses. The investor is seeking $384,370一the case is still pending.

It is the broker’s duty to perform a customer’s orders promptly in a manner best suited to serve the customer’s best interest. Failure to follow customer instructions violates FINRA Rule 2010, which requires all registered members to observe high standards of commercial honor and just principles in their business dealings. 

When a broker fails to follow your instruction and/or execute your order promptly, you may be able to recover your investment losses resulting from the failure to follow your instructions.

Background Information

Brooke Bordner 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 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Brooke Bordner is a registered broker in nine states. She is also a registered investment advisor in Arizona, California, and North Carolina.

Besides Unionbanc Investment Services, Brooke Bordner has also worked with Citigroup Global Markets (CRD#:7059) and Citicorp Investment Services (CRD#:23988).

Kurta Law Can Help

If you have worked with Brooke Bordner and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors 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.