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Investor Alleges John Kuhn Failed to Follow Investment Instructions

John Kuhn (CRD #: 2048767), a broker registered with LPL Financial, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on March 23, 2023. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On January 18, 2023, an investor alleged that John Kuhn failed to follow instructions to initially invest 20% of the client’s account and invest the remainder on a monthly basis, instead fully investing the account on January 18, 2022. This dispute was denied by the firm.

However, investors should know that firms don’t need to permit an outside review before denying a dispute. Investors may be able to recover their losses by pursuing FINRA arbitration following a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

John Kuhn has passed the following exams:

  • 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

John Kuhn is a registered broker in 24 states and the District of Columbia. He is also a registered investment adviser in North Dakota and Texas.

He has also worked for the following firms:

  • Cetera Investment Advisers (CRD#:105644)
  • Cetera Investment Services (CRD#:15340)
  • Invest Financial Corporation (CRD#:12984)
  • PrimeVest Financial Services (CRD#:15340)
  • FBS Investment Services (CRD#:17868)
  • Liberty Securities (CRD#:14416)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with John Kuhn and you have concerns about your investments, please contact us today at 877-600-0098 or 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.