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Investor Alleges Jodi Brown Acted Negligently

Sep 2, 2022 Investor Disputes

Jodi Brown (CRD #: 6156002), a broker registered with Transamerica Financial Advisors, was involved in a recent dispute, according to her BrokerCheck record, accessed on August 7, 2022. Read on if you want to learn more about her conduct as a broker.

Investor Dispute

On May 19, 2022, an investor alleged that Jodi Brown neglected their account, leading to losses. The client sought $50,000 but the dispute was denied by the firm.

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

What is broker negligence?

Brokers can act in many negligent ways. Some common forms of broker negligence include omitting key information, giving unsuitable investment recommendations, and failing to supervise Negligence can also involve simply failing to execute trades per the investor agreement. Investors who believe their losses are the result of broker negligence can seek out FINRA arbitration and potentially recover their funds.

Background Information

Jodi Brown has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Jodi Brown is a registered broker in California and Colorado, and a registered investment adviser in Colorado.

Kurta Law Can Help

If you worked with Jodi Brown 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.