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David Ward is the Subject of an Investor Dispute

David Ward (CRD #: 5924877), a broker registered with Wells Fargo Clearing Services in Raleigh, North Carolina, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on December 8, 2023. Keep reading if you have questions about his conduct as a broker. 

On September 11, 2023, a trustee complained about investment losses, interest charges, and fees incurred on the investment of funds borrowed against an insurance policy. 

Brokers are required to disclose information related to fees and interest charges. They are also required to recommend investments that suit their investor’s financial needs and risk tolerance. Investments that do not fit this criteria may be unsuitable

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Borrowing funds against an insurance policy may violate this rule. 

Background Information 

David Ward has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker in 15 states and is a registered investment adviser in North Carolina and Texas. 

David Ward has registered with the following firms: 

  • Wells Fargo Clearing Services (CRD #: 19616) 
  • LPL Financial (CRD #: 6413) 
  • Morgan Stanley (CRD #: 149777) 

Kurta Law Can Help 

If you have worked with David Ward and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.