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Milton Caraway Allegedly Failed to Follow Client’s Instructions

Milton Caraway (CRD #: 5903752), a broker registered with Edward Jones, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed on March 8, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On December 12, 2022, an investor alleged that Milton Caraway failed to follow their instructions to purchase a one-year Goldman Sachs certificate of deposit (CD), instead purchasing a five-year Capital One Bank CD. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without an outside review. Investors may be able to recover their funds following a denial by seeking out 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

Milton Caraway has passed the following exams:

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

Milton Caraway is a registered broker in 21 states and a registered investment adviser in Florida and Texas.

Kurta Law Can Help

If you worked with Milton Caraway 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.