Jan Getto Facing Allegations of Unsuitable Investment Recommendations
Jan Getto (CRD #: 2714455), a broker registered with Aegis Capital Corp, is involved in an investor dispute, according to Getto’s BrokerCheck record, accessed on July 15, 2021. Details of the dispute are provided below.
On June 22, 2021, an investor alleged that Jan Getto recommended unsuitable investments. Brokers are required to recommend only investments that are suitable for their customers. FINRA requires that brokers consider their investor’s profiles when they recommend securities. These include information on the investor’s risk tolerance and financial goals. In their complaint, the investor is seeking $77,462.11; the dispute is pending.
Jan Getto Background Information
Getto has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Getto is a registered broker in 36 states and has worked for the following firms:
- Aegis Capital Corp (CRD #: 15007)
- Rockwell Global Capital (CRD #: 142485)
- First Midwest Securities (CRD #: 21786)
- Newbridge Securities Corporation (CRD #: 104065)
- Gunnallen Financial (CRD #: 17609)
- Ladenburg Capital Management (CRD #: 14623)
Kurta Law Can Help
If you worked with Jan Getto and have concerns about the suitability of your investments, contact Kurta Law today. Call 212-658-1502 or email firstname.lastname@example.org.