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Darin Guthrie Allegedly Made Misrepresentations

Darin Guthrie (CRD #: 4634982), a broker formerly registered with Fidelity Brokerage Services, allegedly made misrepresentations, according to his BrokerCheck record, accessed on May 31, 2023. If you have questions about his alleged conduct as a broker. read on.

Investor Dispute

On March 16, 2023, an investor alleged that Darin Guthrie made misrepresentations in relation to a recommendation to transfer an annuity to his firm. The client seeks $60,000 in damages in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulation, deception, and other fraudulent methods to influence the purchase and sale of securities. Misrepresenting an investment’s requirements, risks, or other relevant information violates this rule.

Background Information

Darin Guthrie has passed the following exams:

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

He previously worked for the following firms:

  • Fidelity Brokerage Services (CRD#:7784)     
  • TD Ameritrade (CRD#:7870)
  • Ameriprise Financial Services (CRD#:6363)
  • New England Securities (CRD#:615)
  • AXA Advisors (CRD#:6627)

Kurta Law Can Help

If you worked with Darin Guthrie 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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