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Clients Allege Negligence in Dispute with John Popp

John Popp (CRD #: 2679997), a broker registered with FBL Marketing Services, allegedly acted negligently, according to his BrokerCheck record, accessed on September 25, 2022. Read on if you want to know more about his conduct as a broker.

Investor Dispute

On August 9, 2022, multiple clients filed a dispute alleging that John Popp and his firm’s affiliate life insurance company failed to notify them of the lapse of a fixed insurance contract. The clients further allege that John Popp acted negligently and breached his contract. This dispute is pending.

FINRA Rule 2010

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

What qualifies as broker negligence?

Many types of broker misconduct can qualify as negligence. Some examples include unsuitable investment recommendations, failure to supervise, and unauthorized trading. Investors who feel their losses were caused by broker negligence may be able to recoup their losses by seeking out FINRA arbitration.

Background Information

John Popp has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He has also worked for the following firms:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Kurta Law Can Help

If you worked with John Popp 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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