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Investor Alleges Bryan Farrell Failed to Follow Instructions

Bryan Farrell (CRD #: 4590220), a broker registered with Edward Jones, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on October 10, 2022. If you want to learn more about his conduct as a broker, read on.

Investor Dispute

In a dispute filed on July 15, 2022, an investor alleged that Bryan Farrell failed to follow her instructions by reinvesting the stock dividends paid to her account from May 2022 to the date of filing. The client sought $57,995.40 in damages but was denied by the firm.

Investors should be aware, however, that firms don’t need to permit an outside review before denying a dispute. Investors can still pursue FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Bryan Farrell has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 56 – Proprietary Trader Qualification Examination

Bryan Farrell is a registered broker in 19 states and the District of Columbia. He is also a registered investment adviser in Illinois and Texas.

He has also worked for Compass Professional Services (CRD#:134284) and Gar Wood Securities (CRD#:138033).

Kurta Law Can Help

If you worked with Bryan Farrell 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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