Investor Alleges Rebecca Gaylor Sold Unsuitable Investment
Rebecca Gaylor (CRD #: 1452113), a broker registered with J.W. Cole Financial, is the subject of a pending dispute, according to her BrokerCheck record, accessed on July 16, 2022. Investors may also have worked with her through J.W. Cole Advisors. Read on if you want to know more about Rebecca Gaylor’s conduct as a broker.
On April 28, 2022, an investor alleged that Rebecca Gaylor failed to research and vet an oil and gas limited partnership before selling it to the client, leading to the loss of their principal. The client seeks $100,000 in damages in this pending dispute.
The Suitability Rule
Reg-BI expands on FINRA Rule 2111, which requires brokers to consider the information in an investor’s profile when recommending securities. These profiles describe an investor’s age, tax status, investment goals, and other information.
Rebecca Gaylor 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 22 – Direct Participation Programs Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
- Series 24 – General Securities Principal Examination
Rebecca Gaylor is a registered broker in 29 states and a registered investment adviser in Arizona.
She has also worked for the following firms:
- Jonathan Roberts Financial Group (CRD#:46285)
- 1st Global Capital (CRD#:30349)
- H.D. Vest Investment Securities (CRD#:13686)
Kurta Law Can Help
If you worked with Rebecca Gaylor and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.