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Gene Griffin Involved in a Peloton Stock Dispute

Gene Griffin (CRD #: 1637650), a broker registered with CFD Investments, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 30, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 20, 2024, an investor alleged that Gene Griffin made an unsolicited purchase of PTON stock. An investor alleged that he also requested a stop-loss to be put in place at the time of the transaction, but the stop-loss was never placed. 

The investor was seeking $71,000. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unsolicited purchases may violate this rule. 

Background Information 

Gene Griffin has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 11 states and is a registered investment adviser in Indiana. 

During his 30 years of experience, Gene Griffin has registered with three firms:

  • CFD Investments (CRD #: 25427) 
  • Creative Financial Designs (CRD #: 109032) 
  • FFP Securities (CRD #: 16337) 

Kurta Law Can Help 

If you worked with Gene Griffin and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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