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Chad Bates Allegedly Failed to Follow Instructions

Chad Bates (CRD #: 4693677), a broker registered with Royal Alliance Associates, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on November 30, 2022. Investors may have also engaged his services through Signature Estate & Investment Advisors. Read on to learn more about his conduct as a broker.

Investor Dispute

On September 29, 2022, an investor alleged that Chad Bates failed to follow instructions concerning the selection of investments. 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 an investor’s instructions may constitute a violation of FINRA Rule 2010. 

Background Information

Chad Bates has passed the following exams:

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

Chad Bates is a registered broker and a registered investment adviser in California.

He has also worked for Signator Investors (CRD#:468).

Kurta Law Can Help

If you worked with Chad Bates and you have concerns about your investments, please contact us today at 877-600-0098 or 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.