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Kent Scholten Allegedly Failed to Follow Instructions

Kent Scholten (CRD #: 2742070), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending dispute, according to his BrokerCheck record, accessed on July 23, 2022. Keep reading if you have questions about Kent Scholten’s conduct as a broker.

Investor Dispute

In a dispute filed on June 14, 2022, an investor alleged that Kent Scholten failed to follow instructions from February 2022 until April 2022. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of professional honor and ethical conduct.

Background Information

Kent Scholten has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)

Kent Scholten is a registered broker in 37 states and the District of Columbia. He is also a registered investment adviser in Minnesota and Texas.

Kurta Law Can Help

If you worked with Kent Scholten 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.