Jarrod Slater Facing Six-Figure Dispute
Jarrod Slater (CRD #: 4407013), a broker registered with Wells Fargo Clearing Services, was recently involved in a dispute, according to his BrokerCheck record, accessed on November 13, 2022. Keep reading to learn more about his conduct as a broker.
On August 26, 2022, a trustee alleged that Jarrod Slater mismanaged an account by failing to monitor it closely until assets were converted to cash between December 28, 2021, and the date of filing. The trustee sought $431,062.80 in damages but the dispute was denied by the firm.
Investors should be aware, however, that firms don’t need to allow an outside review before denying a dispute. Investors can still seek out FINRA arbitration after a denial and may be able to recover their funds.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Jarrod Slater 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 3 – National Commodity Futures Examination
- Series 7 – General Securities Representative Examination
- Series 10 – General Securities Sales Supervisor – General Module Examination
- Series 9 – General Securities Sales Supervisor – Options Module Examination
Jarrod Slater is a registered broker in 33 states, the District of Columbia, and Puerto Rico. He is also a registered investment adviser in Connecticut and Texas.
He has also worked for the following firms:
- Janney Montgomery Scott (CRD#:463)
- Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
- Advest (CRD#:10)
- Mony Securities Corporation (CRD#:4386)
Kurta Law Can Help
If you worked with Jarrod Slater and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.