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Chris Hardt Allegedly Invested Funds Without Investor Authorization

Chris Hardt (CRD #: 2898244), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on June 27, 2022. Read on if you have questions about his conduct as a broker.

Investor Dispute

On April 13, 2022, an investor alleged that Chris Hardt invested funds without client approval. This dispute is currently pending.

FINRA Rule 3260

FINRA Rule 3260 limits broker discretion to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm.

Background Information

Chris Hardt has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

Chris Hardt is a registered broker in 32 states and the District of Columbia. He is also a registered investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Chris Hardt 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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