John McCune Facing Allegations He Failed to Follow Instructions
John McCune (CRD #: 2881156) a broker registered with LPL Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on August 23, 2021. Investors may have engaged John McCune’s services through Gulfstream Financial Group.
On June 9, 2021, an investor alleged that she withdrew funds that went toward an alleged financial scam. The investor further alleged that John McCune failed to follow her instruction to get approval from one of her children before taking action in her account. According to FINRA’s “Know Your Customer” rule, “Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer.”
John McCune Background Information
John McCune has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Principal Examination
He is a registered broker in nine states and is a registered investment adviser in New Hampshire.
John McCune has worked with the following firms:
- LPL Financial (CRD #: 6413)
- Gulfstream Financial Group (CRD #: 136475)
- American Express Financial Advisors (CRD #: 6363)
- IDS Life Insurance Company (CRD #: 6321)
Kurta Law Can Help
If you worked with John McCune and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.