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Laurie Laucks Allegedly Misrepresented Stock Fund

Laurie Laucks (CRD #: 6737493), a broker registered with Edward Jones, was recently involved in an investor dispute, according to her BrokerCheck record, accessed on February 7, 2023. If you have questions about her alleged conduct as a broker, keep reading.

Investor Dispute

On October 4, 2022, an investor alleged Laurie Laucks misrepresented a stock fund as 100% safe and similar to a money market. This dispute was denied by the firm.

However, investors should be aware that firms don’t need to permit an external review before denying disputes. Investors can still pursue FINRA arbitration after a denial and may be able to recover their losses.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulation, deception, and other fraudulent tactics to influence investors’ decisions. The misrepresentation or omission of material facts – including risks – violates this rule.

Background Information

Laurie Laucks has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Laurie Laucks is a registered broker in 11 states and a registered investment adviser in North Carolina and Texas.

Kurta Law Can Help

If you worked with Laurie Laucks 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. 

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