Kerry Cassell Files for Bankruptcy

Kerry Cassell (CRD #: 2069521), a broker registered with Wells Fargo Clearing Services, was involved in a recent dispute, according to his BrokerCheck record, accessed on June 30, 2022. Keep reading if you have questions about Kerry Cassell’s conduct as a broker.

Bankruptcy

On April 29, 2022, Kerry Cassell filed for bankruptcy.

Investor Dispute

On February 2, 2022, an investor alleged that Kerry Cassell misrepresented fees during the period of August 2016 to October 2020. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without a third-party review. Investors can still recover their funds after a denial by pursuing FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent tactics to influence the purchase and sale of securities. This includes the omission or misrepresentation of information related to investments, such as their fees, risks, and potential returns.

Background Information

Kerry Cassell 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
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination

Kerry Cassell is a registered broker in 10 states and a registered investment adviser in North Carolina.

He has also worked for the following firms:

• Wells Fargo Clearing Services (CRD#:19616)
• Banc of America Investment Services (CRD#:16361)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• UBS Painewebber (CRD#:8174)
• J.C. Bradford & Company (CRD#:1287)
• BB&T Investment Services (CRD#:33856)
• Wheat, First Securities (CRD#:6124)

Kurta Law Can Help

If you worked with Kerry Cassell 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.