Investor Alleges Eric Hartrich Omitted Details Regarding an Investment
Eric Hartrich (CRD #: 1722665), a broker registered with Pruco Securities, allegedly omitted information to a client, according to his BrokerCheck record, accessed on June 19, 2022. If you have questions about Eric Hartrich’s conduct as a broker, keep reading.
Alleged Omission of Information
On April 21, 2022, an investor alleged that Eric Hartrich failed to fully disclose facts about their investments. This dispute was denied by the firm.
However, investors should be aware that firms can deny disputes without any outside review. Investors can still pursue FINRA arbitration and recoup their losses after a denial.
FINRA Rule 2020
Omitting information related to investments violates FINRA Rule 2020, which forbids the use of manipulative, deceptive, and otherwise unethical means of influencing investors’ decisions.
Eric Hartrich 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 6 – Investment Company Products/Variable Contracts Representative Examination
- Series 26 – Investment Company Products/Variable Contracts Principal Examination
Eric Hartrich is a registered broker in 20 states and a registered investment adviser in Georgia, Oklahoma, and Texas.
He is currently registered with Pruco Securities (CRD #: 5685) and Prudential Financial Planning Services (CRD #: 5685).
Kurta Law Can Help
If you worked with Eric Hartrich and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.