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Phillip Biffle Allegedly Failed to Follow Instructions

Phillip Biffle (CRD #: 1780353), a broker registered with Edward Jones, allegedly failed to follow instructions, according to his BrokerCheck record, accessed on November 7, 2022. Keep reading if you want to know more about his conduct as a broker.

Investor Dispute

On September 6, 2022, a representative of a client’s estate alleged that Phillip Biffle failed to follow instructions concerning a beneficiary designation and gave inaccurate information about the status of the designation. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Phillip Biffle has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Phillip Biffle is a registered broker in 22 states and a registered investment adviser in South Carolina and Texas.

Kurta Law Can Help

If you worked with Phillip Biffle 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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