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John Slipek Involved in Pending Investor Dispute

May 2, 2022 Misrepresentation

John Slipek (CRD #: 4274243), a broker registered with Alexander Capital, is involved in an active investor dispute, according to his BrokerCheck record, accessed on April 21, 2022. If you want to learn more about John Slipek’s conduct as a broker, keep reading.

Investor Dispute

On January 18, 2022, an investor alleged that John Slipek violated FINRA Rules 2020 and 2010, as well as violating the responsibility for fair dealing defined by Rule 2111. The investor seeks $68,276.47 in this pending dispute.

FINRA Rule 2020 and 2010

FINRA Rule 2020 prohibits the use of deception, manipulation, and other unethical means of influencing the purchase and sale of securities.

Violations of many rules are also violations of FINRA Rule 2010, which requires brokers to meet high standards of commercial conduct.

FINRA Rule 2111

FINRA Rule 2111 primarily concerns investment recommendations, requiring that they suit investors’ profiles. However, it also states that brokers have a responsibility towards fair dealing and overall ethical practices in dealing with their clients.

Background Information

John Slipek 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 Slipek is a registered broker in 47 states and the District of Columbia. He is also a registered investment adviser in New Jersey and New York.

He has also worked for the following agencies:

  • Berthel, Fisher & Company Financial Services (CRD#:13609)
  • Newbridge Securities Corporation (CRD#:104065)
  • Investors Capital (CRD#:30613)
  • Joseph Stevens & Company (CRD#:35459)
  • J.P. Turner & Company (CRD#:43177)

Kurta Law Can Help

If you worked with John Slipek 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.