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Chad King Allegedly Failed to Follow Client’s Instructions

Chad King (CRD #: 5663617), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on August 6, 2022. Read on to learn more about his conduct as a broker.

Investor Dispute

In a dispute filed on May 25, 2022, an investor alleged that Chad King failed to follow instructions to liquidate mutual funds. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 requires brokers to uphold high standards of professional honor and just and equitable principles of trade conduct.

Background Information

Chad King has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Chad King is a registered broker in 17 states and a registered investment adviser in Kansas and Texas.

He previously worked for Farmers Financial Solutions (CRD#:103863).

Kurta Law Can Help

If you worked with Chad King 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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