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John Horvath is the Subject of a Six-Figure Dispute

John Horvath (CRD #: 2762334), a broker registered with Ameriprise Financial Services, is the subject of an investor dispute. This dispute appears on his BrokerCheck record, accessed on December 6, 2023. Concerned investors should keep reading. 

On September 20, 2023, an investor alleged that John Horvath made a poor recommendation regarding an AllState annuity, which allegedly resulted in losses. The investor sought $100,000. 

The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. Our securities attorneys can still recover losses following a denial via FINRA arbitration

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable recommendations as recommendations that fit an investor’s profile. Investor profiles have information on the investor’s investing goals, age, risk tolerance, tax status, investing experience, and financial needs. Investments that do not take these factors into account may be unsuitable

Background Information 

John Horvath has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 24 General Securities Principal Examination 

He is a registered broker in 33 states and is a registered investment adviser in Texas and Washington. 

John Horvath has registered with the following firms: Ameriprise Financial Services (CRD #: 6363) and IDS Life Insurance Company (CRD #: 6321). 

Kurta Law Can Help 

If you have worked with John Horvath and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.