Jeffrey Gantz is Involved in an Investor Dispute

Jeffrey Gantz (CRD #: 2318683), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 20, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 31, 2024, an investor alleged that Jeffrey Gantz was responsible for missing funds. The investor sought $150,000 but the dispute was denied. Investors should know that firms can deny disputes without any external review and they can still recover losses following a denial.

High Standards of Commercial Honor 

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

Background Information 

Jeffrey Gantz 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 9 General Securities Sales Supervisor – Options Module Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 24 General Securities Representative Examination 
• Series 4 Registered Options Principal Examination 
• Series 8 General Securities Sales Supervisor Examination (Options Module & General Module) 

He is a registered broker in 16 states and D.C. He is a registered investment adviser in Indiana and Texas. 

Jeffrey Gantz has registered with five firms: 

• LPL Financial (CRD #: 6413) 
• Raymond James Financial Services Advisors (CRD #: 149018) 
• Raymond James Financial Services (CRD #: 6694) 
• CitiGroup Global Markets (CRD #: 7059) 
• H&R Block Financial Advisors (CRD #: 5979) 

Kurta Law Can Help 

If you worked with Jeffrey Gantz and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.