Jeff Winn Named in Dispute Alleging Fraudulent Inducement

Jeff Winn (CRD #: 2375998), a broker registered with International Assets Advisory, is named in a pending investor dispute, according to his BrokerCheck record, accessed on January 31, 2023. Investors may have also engaged his services through Global Assets Advisory. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

In a dispute filed on November 7, 2022, an investor alleged Jeff Winn engaged in fraudulent inducement and negligence in relation to an account conversion caused by a change in clearing firms. The dispute alleges that these violations occurred between 2008 and 2022.

This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 bans the use of deception, manipulation, and other fraudulent means of influencing investors’ decisions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What qualifies as broker negligence?

Many forms of broker misconduct may qualify as negligence. Typical examples include giving unsuitable investment recommendations, misrepresenting or omitting material facts, and failing to supervise other brokers.

Investors who feel their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information

Jeff Winn has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination

Jeff Winn is a registered broker in all 50 states and the District of Columbia. He is also a registered investment adviser in Florida.

He has also worked for Five X Securities (CRD#:8193) and Janney Montgomery Scott (CRD#:463).

Kurta Law Can Help

If you worked with Jeff Winn 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.