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Eric Overig Facing Dispute Alleging Unauthorized Trades

Eric Overig (CRD #:1435223), a registered broker with Feltl & Company, is involved in an investor dispute, according to his BrokerCheck record, accessed on November 8, 2021. This broker is also a registered investment advisor with Feltl Advisors.

Investor Allegations

On August 19, 2021, an investor filed a dispute against Eric Overig, alleging he made unsuitable investment strategies and engaged in unauthorized trades. The damage amount requested is $117,000.00. The case is still pending. 

Eric Overig’s Alleged Conduct is a Violation of FINRA Rule 2010

Making unauthorized trades in or facilitating unauthorized withdrawals from a customer’s account is a breach of the duty to observe high standards of commercial honor and just and equitable principles of trade and thus a violation of FINRA Rule 2010.

Previous Investor Allegation

Eric Overig has another dispute on his record dated May 21, 2019, alleging he recommended unauthorized trades and over-concentrated certain securities. 

Eric Overig Background Information

Eric Overig 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

Eric Overig is a registered broker in four states. He is also a registered investment advisor in Illinois, Wisconsin, and Minnesota.

Other than Feltl & Company andFeltl Advisors, Eric Overig has worked with the following firms:

  • The Oak Ridge Financial Services Group (CRD#:42941)
  • U.S. Bancorp Investments (CRD#:17868)
  • Associated Investment Services (CRD#:1464)
  • IFMG Securities  (CRD#:14416)
  • TCF Investments (CRD#:34954)
  • Brokerbank Securities (CRD#:130116)
  • Protective Group Securities Corporation (CRD#:6757)
  • Tuschner & Company (CRD#:36037)
  • Kennedy, Mathews, Landis, Healy & Pecora, Incorporated (CRD#:27181)
  • Mathews, Holmquist & Associates  (CRD#:22171)
  • M. H. Novick & Co.(CRD#:6293)
  • Van Clemens & Co. Incorporated (CRD#:6914)
  • Waddell & Reed (CRD#:866)

Kurta Law Can Help

If you have worked with Eric Overig 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. 

 

 

 

 

 

 

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