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Investor Alleges Robert Dodge Misrepresented Variable Universal Life Insurance Policy

May 6, 2022 Misrepresentation

Robert Dodge (CRD #: 846452), a former broker, was involved in an investor dispute, according to his BrokerCheck record, accessed on April 29, 2022. Read on if you want to learn more about Robert Dodge’s conduct as a broker.

Investor Dispute

On January 5, 2022, an investor alleged Robert Dodge misrepresented the terms and conditions of a variable universal life insurance policy he purchased in or around February 1999. The client alleges Robert Dodge told him the policy would not require additional premium payments during the life of the policy following purchase. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without any outside review. Investors can still recover their losses following a denial by seeking FINRA arbitration.

FINRA Rule 2020

Misrepresentation of investments violates FINRA Rule 2020, which bans the use of manipulation, deception, and other unethical means of influencing investors.

Background Information

Robert Dodge has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 1 - Registered Representative Examination

He formerly worked for NYLIFE Securities (CRD#:5167).

Kurta Law Can Help

If you worked with Robert Dodge 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.