Bruce Body Allegedly Failed to Implement a Sound Investment Strategy

Bruce Body (CRD #: 1547342), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on May 20, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On March 22, 2024, an investor alleged that Bruce Body did not implement a sound investment strategy and mismanaged an account. The investor sought $64,150.42 but the dispute was denied. Investors should know, however, that firms can deny disputes without any external review. Investors can still recover their losses following a denial. 

Investors should know that there are two settled investor disputes on his record. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Mismanagement may violate this rule. 

Background Information 

Bruce Body has passed the following exams:

• Series 63 Uniform Securities Agent State Law Examination 
• Series 99TO Operations Professional Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 4 Registered Options Principal Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 
• Series 24 General Securities Principal Examination 
• Series 8 General Securities Sales Supervisor Examination (Options Module & General Module) 

He is registered as a broker in 50 states, D.C., and Virgin Islands. He is a registered investment adviser in Florida and Texas. 

Bruce Body has registered with the following firms: Raymond James & Associates (CRD #: 705) and A.G. Edwards & Sons (CRD #: 4). 

Kurta Law Can Help 

If you have worked with Bruce Body and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.