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Investor Alleges Chris Gilbert Engaged in Misleading, Dishonest Conduct

May 20, 2022 Misrepresentation

Chris Gilbert (CRD #: 7181422), a broker registered with Edward Jones, allegedly misled an investor, according to his BrokerCheck record, accessed on May 15, 2022. Read on to learn more about Chris Gilbert’s conduct as a broker.

Investor Dispute

On March 9, 2022, an investor filed a dispute alleging Chris Gilbert was dishonest and misleading in recommending and selling bond funds as an investment. This dispute was denied by the firm following an investigation.

However, investors should know that firms don't need to allow an outside review before denying a claim. Investors can still recover their losses following a denial by pursuing FINRA arbitration.

FINRA Rules 2020 and 2010

FINRA Rule 2020 bans the use of manipulation, deception, and other kinds of fraudulent tactics to influence the purchase and sale of securities. The misrepresentation or omission of information regarding the requirements, risks, or costs associated with an investment violates this rule.

Violations of FINRA Rule 2020 are often automatic violations of FINRA Rule 2010, which requires that brokers uphold high standards of commercial honor.

Background Information

Chris Gilbert has passed the following exams:

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

Chris Gilbert is a registered broker in seven states and a registered investment adviser in Kentucky and Texas.

Kurta Law Can Help

If you worked with Chris Gilbert 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.