Ian Gordon Allegedly Recommended Unsuitable Investments

Ian Gordon (CRD #: 6042051), a broker registered with Northwestern Mutual Investment Services, allegedly gave unsuitable investment recommendations, according to his BrokerCheck record, accessed on August 2, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On April 15, 2025, an investor alleged that Ian Gordon recommended investments that were unsuitable for his financial situation and investment goals. This dispute was denied by the firm.

However, investors can still pursue FINRA arbitration and potentially recover their losses even if a firm denies their dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that adequately fit an investor’s financial goals. Brokers must take into account an investor’s tax status, risk tolerance, age, investing experience and other information described in their profile.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

Background Information

Ian Gordon has passed the following exams:

• General Securities Sales Supervisor – General Module Examination – Series 10
• General Securities Sales Supervisor – Options Module Examination – Series 9
• Investment Company Products/Variable Contracts Principal Examination – Series 26
• Operations Professional Examination – Series 99TO
• General Securities Representative Examination – Series 7TO
• Securities Industry Essentials Examination – SIE
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Securities Agent State Law Examination – Series 63

Ian Gordon is a registered broker in 49 states and the District of Columbia.

Kurta Law Can Help

If you worked with Ian Gordon 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 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.