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Garret Sladek Allegedly Misrepresented Insurance Policy

Nov 4, 2022 Misrepresentation

Garret Sladek (CRD #: 6772029), a broker registered with Equitable Advisors, was the subject of a recent dispute, according to his BrokerCheck record, accessed on October 17, 2022. If you have questions about his conduct as a broker, read on.

Investor Dispute

On June 19, 2022, an investor filed a dispute alleging that Garret Sladek misrepresented a variable insurance policy the client purchased in 2020. The firm denied the dispute.

Investors should be aware, however, that firms can deny disputes without an external review. Investors can still pursue FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent methods of influencing investors’ decisions. Misrepresenting an investment’s risks, requirements, or other features violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 are also violations of Rule 2010. 

Background Information

Garret Sladek has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

Garret Sladek is a registered broker and a registered investment adviser in Arkansas and Texas.

Kurta Law Can Help

If you worked with Garret Sladek 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.