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Investors Allege John Bussa Gave Unsuitable Investment Recommendation

Jul 18, 2022 Unsuitable Investments

John Bussa (CRD #: 4418922), a broker registered with Lincoln Financial Advisors, allegedly made an unsuitable investment recommendation, according to his BrokerCheck record, accessed on July 8, 2022. Read on if you want to know more about John Bussa’s conduct as a broker.

Investor Dispute

In a dispute filed on March 28, 2022, multiple investors alleged that John Bussa recommended an unsuitable oil and gas investment. This dispute remains pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the information contained in an investor’s profile, such as their tax status, risk tolerance, and overall financial situation.

Investors who rely on their broker for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

John Bussa has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

John Bussa is a registered broker in 19 states and a registered investment adviser in Michigan.

He previously worked for the Lincoln National Life Insurance Company (CRD#:2580).

Kurta Law Can Help

If you worked with John Bussa 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.