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Investor Alleges George Duke’s Involvement in Misappropriation

Aug 15, 2022 Misappropriation

George Duke (CRD #: 6868018), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on July 31, 2022. Keep reading if you have questions about George Duke’s conduct as a broker.

Investor Dispute

On June 1, 2022, an investor alleged that their deceased husband’s step-daughter conspired with employees of George Duke’s office to misappropriate the investor’s funds and place them under the step-daughter’s control without permission or appointment from the decedent.

The investor alleges this scheme took place between January 10, 2022, and May 18, 2022. This dispute is currently pending.

FINRA Rules 2150 and 

FINRA Rule 2150 prohibits the misuse and misappropriation of investors’ funds.

The alleged conduct also violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and ethical conduct.

Background Information

George Duke has passed the following exams:

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

George Duke is a registered broker in 14 states and a registered investment adviser in Texas and Utah.

Kurta Law Can Help

If you worked with George Duke 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.