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John Pinto Allegedly Failed to Execute Client’s Instructions

John Pinto (CRD #: 4199143), a broker registered with PNC Investments, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on August 20, 2022. Keep reading if you have questions about his conduct as a broker.

Investor Dispute

On May 6, 2022, an investor alleged that John Pinto failed to follow their instructions when executing an equity liquidation order. The client sought $95,540 in damages and received a settlement of $95,902.25.

FINRA Rule 2010

Failure to follow a client’s instructions violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

John Pinto 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

John Pinto is a registered broker in 21 states and a registered investment adviser in New Jersey and Pennsylvania.

He has also worked for the following firms:

  • Hilliard Lyons Asset Management (CRD#:453)
  • J.J.B. Hilliard, W.L. Lyons (CRD#:453)
  • Citigroup Global Markets (CRD#:7059)

Kurta Law Can Help

If you worked with John Pinto 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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