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Nathan Tuori Allegedly Did Not Accurately Explain Principal-Protected Notes

Nathan Tuori (CRD #: 5809383), a broker registered with PNC Investments, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 17, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute

On April 26, 2024, an investor alleged that Nathan Tuori did not accurately explain the features of principal-protected notes. The investor sought $90,300 but the dispute was denied. Investors should know, however, that firms can deny disputes without any external review. Investors can still recover losses following a denial. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to disclose features of principal-protected notes violates this rule. 

Background Information 

Nathan Tuori has passed the following exams: 

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

He is a registered broker in 15 states and is a registered investment adviser in Indiana, North Carolina, Ohio, and Washington. 

During his 13 years of experience in the securities industry, he has registered with the following firms: 

  • PNC Investments (CRD #: 129052) 
  • Morgan Stanley (CRD #: 149777) 
  • Securian Financial Services (CRD #: 15296) 

Kurta Law Can Help 

If you have worked with Nathan Tuori and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.