John Soles Allegedly Invested Client’s Funds Without Authorization
John Soles (CRD #: 6593568), a broker registered with Edward Jones, is subject to a pending dispute, according to his BrokerCheck record, accessed on August 14, 2022. If you have questions about his conduct as a broker, keep reading.
Investor Dispute
On May 17, 2022, an investor alleged that John Soles invested funds without authorization on February 12, 2021. The client seeks $65,000 in this pending dispute.
FINRA Rule 3260
Unauthorized trading violates FINRA Rule 3260, which restricts brokers from exercising their trading discretion outside of pre-authorized discretionary accounts. These accounts must receive approval from the firm and the client before brokers can conduct discretionary trading.
Background Information
John Soles has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
John Soles is a registered broker in 13 states and a registered investment adviser in North Carolina and Texas.
Kurta Law Can Help
If you worked with John Soles 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.