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Dustin Chase Facing Forgery Allegations

Feb 8, 2022 Investor Disputes

Dustin Chase (CRD #:45046), a broker and investment advisor registered with  J.P. Morgan Securities, is involved in an investor dispute according to his BrokerCheck record, accessed on January 10, 2022.  

Forgery Allegations 

On October 28, 2021, a dispute was filed against Dustin Chase, alleging that he conspired with a third party to change a beneficiary, allowing the third party access to funds. The investor is seeking $500,000the dispute is still pending. 

This unethical conduct violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.  

Background Information 

Dustin Chase 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 7 - General Securities Representative Examination 
  • Series 1 - Registered Representative Examination 
  • Series 4 - Registered Options Principal Examination 
  • Series 53 - Municipal Securities Principal Examination 
  • Series 24 - General Securities Principal Examination 

Dustin Chase is a registered broker in 31 states. He is also a registered investment advisor in three states. 

Dustin Chase has also worked with the following firms: 

  • Chase Investment Services (CRD#:25574) 
  • Citicorp Investment Services (CRD#:23988) 
  • Natwest Investor Services Corporation (CRD#:17434) 
  • Essex National Securities (CRD#:25454) 
  • ABN Amro Investment Services (CRD#:20373) 
  • EAB Securities (CRD#:17623) 
  • Citicorp Financial Services (CRD#:14675) 
  • Landmark Brokerage Services (CRD#:20221) 
  • A. G. Edwards & Sons (CRD#:4) 
  • Paine, Webber, Jackson & Curtis (CRD#:8174) 
  • Shearson Loeb Rhoades (CRD#:7506) 
  • Bateman Eichler, Hill Richards, Incorporated (CRD#:76) 
  • Drexel Burnham Lambert Incorporated (CRD#:7323) 
  • Kidder, Peabody & Co. Incorporated (CRD#:7613) 
  • Hornblower, Weeks, Noyes & Trask Incorporated (CRD#:7394) 
  • Eppler, Guerin & Turner (CRD#:260) 
  • Edward D. Jones & Co., (CRD#:250) 
  • Paine, Webber, Jackson & Curtis Incorporated (CRD#:640) 
  • E. F. Hutton & Company (CRD#:235) 

Kurta Law Can Help 

If you have worked with Dustin Chase and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com 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 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.