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Investor Seeks $1 Million in Dispute with Cash Freeman

Cash Freeman (CRD #: 6374508), a broker registered with RBC Capital Markets, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed on November 12, 2022. If you have questions about his conduct as a broker, keep reading.

Investor Dispute

On August 31, 2022, an investor alleged that Cash Freeman failed to execute requested investment transactions from March 2020 to the date of dispute filing. The client also made other unspecified allegations of misconduct. The investor seeks $1 million in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to execute is a violation of FINRA Rue 2010. 

Background Information

Cash Freeman has passed the following exams:

  • Series 66 – Uniform Combined State Law 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 9 – General Securities Sales Supervisor – Options Module Examination

Cash Freeman is a registered broker in 35 states and a registered investment adviser in California, Colorado, and Texas.

He has also worked for Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Cash Freeman 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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