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David Ebner Allegedly Failed to Follow Instructions

David Ebner (CRD #: 2962914), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of a pending investor dispute, according to his BrokerCheck record, accessed on July 10, 2022. Read on if you have questions about David Ebner’s conduct as a broker.

Investor Dispute

On May 10, 2022, an investor alleged that David Ebner failed to follow instructions on August 28, 2020, resulting in tax consequences for the client. This dispute is pending.

FINRA Rule 2010 requires that brokers uphold high standards of commercial honor and just and equitable principles of trade. Many forms of misconduct violate this rule.

Background Information

David Ebner has passed the following exams:

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

David Ebner is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in Pennsylvania and Texas.

Kurta Law Can Help

If you worked with David Ebner 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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