Jeremy Browning Allegedly Misled Client About Annuity

Jeremy Browning (CRD #: 2977642), a broker registered with Cetera Advisor Networks, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed on December 7, 2022. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On September 16, 2022, an investor alleged that Jeremy Browning misled her into believing that money invested into an annuity was guaranteed against loss of value, which was later realized. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without allowing an external review. Investors can still seek out FINRA arbitration after a denial and may be able to recoup their losses.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, and otherwise fraudulent means of influencing investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s requirements, risks, or limitations.

FINRA Rule 2150

FINRA Rule 2150 forbids brokers and firms from guaranteeing investors against loss in their accounts or individual transactions.

Background Information

Jeremy Browning 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 7 – General Securities Representative Examination
• Series 4 – Registered Options Principal Examination
• Series 24 – General Securities Principal Examination
• Series 27 – Financial and Operations Principal Examination

Jeremy Browning is a registered broker in 14 states and a registered investment adviser in Tennessee and Texas.

He has also worked for the following firms:

• Voya Financial Advisors (CRD#:2882)
• Dortch Securities & Investments (CRD#:42207)
• William E. Hopkins & Associates (CRD#:46947)
• Dominion Investor Services (CRD#:21548)

Kurta Law Can Help

If you worked with Jeremy Browning 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.