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Investor Alleges Bruce Sandry Failed to Follow Instructions

Bruce Sandry (CRD #: 1642334), a broker registered with RBC Capital Markets, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on December 12, 2022. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On September 16, 2022, an investor alleged Bruce Sandry failed to follow instructions about the sale of certain securities on or around June 1, 2022. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate FINRA Rule 2010. 

Background Information

Bruce Sandry 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

Bruce Sandry is a registered broker in 23 states and a registered investment adviser in Iowa and Texas.

He has also worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Citigroup Global Markets (CRD#:7059)
  • American Express Financial Advisors (CRD#:6363)

Kurta Law Can Help

If you worked with Bruce Sandry 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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