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Jeff Dever Allegedly Failed to Follow Instructions

Jeff Dever (CRD #: 5317492), a broker registered with UBS Financial Services, is the subject of a dispute settlement. This disclosure appears on his BrokerCheck record, accessed on October 27, 2023. Keep reading if you have questions about his alleged conduct. 

On August 22, 2023, an investor alleged that Jeff Dever did not follow his instructions. The investor alleged that he did not want his shares sold all at once but strategically sold to maximize value. 

The investor sought $200,000 and the dispute settled for $94,373.73. 

There is a previous dispute alleging Jeff Dever executed unauthorized trades. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow investor instructions may violate this rule. 

Background Information 

Jeff Dever has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 14 states and is a registered investment adviser in Florida, New Jersey, and Texas. 

During his 16 years of experience, Jeff Dever registered with six firms. 

  • UBS Financial Services (CRD #: 8174) 
  • Credit Suisse Securities (CRD #: 816) 
  • M&T Securities (CRD #: 17358) 
  • Wilmington Brokerage Services Company (CRD #: 14942) 
  • AllianceBernstein (CRD #: 108477) 
  • Sanford C. Bernstein (CRD #: 104474) 

Kurta Law Can Help

If you worked with Jeff Dever and 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.

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