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John Copenhaver Facing $580,000 Investor Dispute

John Copenhaver (CRD #: 5516072), a broker registered with Edward Jones, allegedly invested a client in unsuitable investments, according to his BrokerCheck record, accessed on September 24, 2022. If you have questions about his conduct as a broker, read on.

Investor Dispute

On August 15, 2022, an investor alleged that John Copenhaver made unsuitable investments on their behalf. The client seeks $580,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to fit investors’ profiles. Brokers must examine the characteristics described in an investor’s profile, including the following:

  • Age
  • Financial goals
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status

Investors who rely on their broker for recommendations may be able to recoup their losses through FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2111 are automatic violations of FINRA Rule 2010. 

Background Information

John Copenhaver has passed the following exams:

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

John Copenhaver is a registered broker in 25 states and the District of Columbia. He is also a registered investment adviser in Illinois and Texas.

Kurta Law Can Help

If you worked with John Copenhaver 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. 

 

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