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David Bulow Allegedly Engaged in Fraud

Nov 15, 2022 Unsuitable Investments

David Bulow (CRD #: 5834367), a broker registered with NI Advisors, allegedly committed several violations, according to his BrokerCheck record, accessed on November 4, 2022. If you have questions about his conduct as a broker, read on.

Pending Arbitration

On September 15, 2022, an arbitration filing named David Bulow in allegations of fraud, negligence, unsuitability, and other claims in relation to the sale of GWG L bonds in 2019. This arbitration is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. An investor’s profile includes information about their risk tolerance, tax status, and investment goals.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

What qualifies as broker negligence?

Many forms of broker misconduct may qualify as negligence, ranging from unsuitable investment recommendations to unauthorized trading. Investors who feel their losses are the result of broker negligence may be able to recover their funds by seeking out FINRA arbitration.

Background Information

David Bulow has passed the following exams:

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

David Bulow is a registered broker in California, Idaho, and Michigan.

He has also worked for Voya Financial Advisors (CRD#:2882) and Ameriprise Financial Services (CRD#:6363).

Kurta Law Can Help

If you worked with David Bulow 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.