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David House Allegedly Misrepresented Annuity

David House (CRD #: 6803591), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending dispute, according to his BrokerCheck record, accessed on June 9, 2022. Keep reading to learn more about David House’s conduct as a broker.

Investor Dispute

On April 29, 2022, an investor alleged that David House misrepresented an annuity in August 2021. This dispute is currently pending.

FINRA Rule 2020

Misrepresentation of investments violates FINRA Rule 2020, which bans the use of deception, manipulation, and other unethical means of influencing investors’ decisions.

Background Information

David House has passed the following exams:

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

David House is a registered broker in 10 states and a registered investment adviser in Florida.

He previously worked for Hancock Whitney Investment Services (CRD#:40637).

Kurta Law Can Help

If you worked with David House 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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