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John Yanagihara Allegedly Failed to Follow Client’s Instructions

John Yanagihara (CRD #: 1037905), a broker registered with LPL Financial, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed on March 15, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On February 6, 2023, an investor filed a dispute alleging that John Yanagihara failed to follow their instructions between May 24, 2022, and the date of filing. This dispute is currently pending.

FINRA Rule 2010

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

Background Information

John Yanagihara has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 22 – Direct Participation Programs Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 24 – General Securities Principal Examination

John Yanagihara is a registered broker in Hawaii, Oregon, and Texas. He is also a registered investment adviser in Hawaii and Texas.

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • New England Securities (CRD#:615)
  • G. R. Phelps & Company (CRD#:173)

Kurta Law Can Help

If you worked with John Yanagihara and you have concerns about your investments, please contact us today at 877-600-0098 or 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.