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Christy Earhart Named in Dispute Alleging Violation of State Securities Laws

Christy Earhart (CRD #: 3236699), a broker registered with Arque Capital, is involved in a pending dispute, according to her BrokerCheck record, accessed on December 6, 2022. Keep reading if you have questions about her alleged conduct as a broker.

Investor Dispute

On September 21, 2022, an investor named Christy Earhart in a dispute against Arque Capital, alleging negligence, violation of state securities laws and FINRA rules, and other claims with regard to investment(s) in GWG Capital. GWG Holdings has filed for bankruptcy and investors are pursuing FINRA arbitration to recover losses. This dispute is pending.

What is broker negligence?

Broker negligence can take a variety of forms, including misrepresentations or omissions of fact, unsuitable investment recommendations, or unauthorized trading.

Investors who lose money through broker negligence may be able to recover their losses by seeking out FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Christy Earhart 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 6 – Investment Company Products/Variable Contracts Representative Examination

Christy Earhart is a registered broker in 12 states.

She previously worked for Empire Securities Corporation (CRD#:2826).

Kurta Law Can Help

If you worked with Christy Earhart 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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