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Beneficiaries File Dispute Against Jon Lindenberg

Jon Lindenberg (CRD #: 4161624), a broker registered with Wells Fargo Clearing Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 18, 2023. If you want to know more about his alleged conduct as a broker, read on.

Pending Dispute

On April 3, 2023, multiple beneficiaries of a trust filed a dispute alleging that Jon Lindenberg enabled the trustee to execute an unsuitable transaction in the trust. This dispute is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires that brokers tailor their recommendations of investments and investment strategies to an investor’s profile, which describes their risk tolerance, age, and other characteristics.

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

FINRA Rule 2010

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

Background Information

Jon Lindenberg 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

Jon Lindenberg is a registered broker in 33 states as well as the District of Columbia and Puerto Rico. He is also a registered investment adviser in Maryland and Texas.

He has also worked for Prudential Securities (CRD#:7471).

Kurta Law Can Help

If you worked with Jon Lindenberg 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.