Investor Alleges Poor Service in Dispute with Bryan Hummel

Bryan Hummel (CRD #: 4603340), a broker registered with PlanMember Securities Corporation, was the subject of an investor dispute, according to his BrokerCheck record, accessed on May 31, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

In a dispute filed on March 17, 2023, an investor alleged that Bryan Hummel provided “poor service” and interfered with the client attempting to increase the risk in her portfolio.

The client also alleged that her portfolio performed poorly. She sought $100,000 in damages but the firm denied the dispute.

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

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Bryan Hummel 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
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Bryan Hummel is a registered broker in California, Florida, New Mexico, and Ohio.

He has also worked for the following firms:

• Securities America Advisors (CRD#:110518)
• Securities America (CRD#:10205)
• Brecek & Young Advisors (CRD#:40395)

Kurta Law Can Help

If you worked with Bryan Hummel 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.