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John Flint Allegedly Failed to Follow Instructions

Jun 13, 2022 General

John Flint (CRD #: 6725890), a broker registered with Edward Jones, was involved in a recent dispute, according to his BrokerCheck record, accessed on June 6, 2022. If you have questions about John Flint’s conduct as a broker, keep reading.

Investor Dispute

In a dispute filed on April 30, 2022, an investor alleges that John Flint failed to follow her instructions to move her investments to cash in January 2022. This dispute was denied by the firm following an investigation.

However, firms do not need to allow a third-party review before denying disputes. Investors can still pursue FINRA arbitration to recoup their losses following a denial.

FINRA Rule 5310

Failure to execute violates FINRA Rule 5310, which requires brokers to follow and execute client’s instructions promptly and correctly.

Background Information

John Flint has passed the following exams:

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

John Flint is a registered broker in 14 states and the District of Columbia. He is also a registered investment adviser in Georgia and Texas.

He has five years of experience and has only registered with Edward Jones (CRD # 250). 

Kurta Law Can Help

If you worked with John Flint 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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