Heirs of Deceased Client Filed Disputes Against Daintry Price
Daintry Price (CRD #: 1692616), a broker registered with LPL Financial, is the subject of two pending investor disputes, according to her BrokerCheck record, accessed on October 15, 2022. Investors may have also worked with her through Global Retirement Partners or Conover Securities Corporation. If you have questions about conduct as a broker, keep reading.
In a dispute filed on August 30, 2022, the heirs of a deceased client alleged that Daintry Price liquidated a clients’ accounts on a different date than requested and that there was an approximate loss of $100,000 due to this delay.
FINRA Rules 5310 and 2010
FINRA Rule 5310 requires brokers to execute trades according to clients’ instructions and in a timely manner.
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Daintry Price 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 51 – Municipal Fund Securities Principal Examination
- Series 24 – General Securities Principal Examination
Daintry Price is a registered broker in Arizona, Illinois, New York, and Washington. She is also a registered investment adviser in Arizona, Maryland, Ohio, and Washington.
She has also worked for the following firms:
- Conover Capital Management (CRD#:118393)
- Conover Securities (CRD#:17129)
- NFP Advisor Services (CRD#:42046)
- Financial Network Investment Corporation (CRD#:13572)
Kurta Law Can Help
If you worked with Daintry Price and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.