Dirk Rabenold Subject of Pending Dispute

Dirk Rabenold (CRD #: 1407291), a broker registered with Next Financial Group, is involved in a pending dispute, according to his BrokerCheck record, accessed on November 17, 2022. Investors may have also worked with him through Rabenold Advisors. Keep reading to learn more about his conduct as a broker.

Investor Dispute

On August 18, 2022, an investor filed a dispute against Dirk Rabenold, alleging that he wrongfully allowed the client to transfer funds from their investment account to their personal bank account.

The investor alleges that, in September 2021, they directed a $450,000 wire transfer between these accounts, and later fell victim to a telephone scam wherein they transferred these funds from their bank account to a fraudulent third-party investment.

This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Dirk Rabenold 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 3 – National Commodity Futures Examination
• Series 7 – General Securities Representative Examination
• Series 53 – Municipal Securities Principal Examination
• Series 4 – Registered Options Principal Examination
• Series 24 – General Securities Principal Examination

Dirk Rabenold is a registered broker in 37 states and a registered investment adviser in Florida and New York.

He has also worked for the following firms:

• Janney Montgomery Scott (CRD#:463)
• Prudential Securities (CRD#:7471)
• Smith Barney (CRD#:7059)
• Lehman Brothers (CRD#:7506)
• Prudential-Bache Securities (CRD#:7471)
• American Heritage Securities (CRD#:16130)

Kurta Law Can Help

If you worked with Dirk Rabenold 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.