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Robert Earls is Facing a Six-Figure Dispute

Robert Earls (CRD #: 1369915), a broker previously registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on March 14, 2024. Details concerning this disclosure are provided below. 

Investor Disputes

On February 9, 2024, an investor alleged that she provided funds to Robert Earls that she believed were being invested in outside investment accounts. No such accounts exist at LPL. (The disclosure does not provide any more detail.) The investor is seeking $300,000. 

On February 7, 2024, Robert Earls allegedly misappropriated funds. 

High Standards of Commercial Honor 

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

Background Information 

Robert Earls 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 6 Investment Company Products / Variable Contracts Representative Examination 

During his 35 years of experience, Robert Earls has registered with ten firms. These are the five more recent: 

  • LPL Financial (CRD #: 6413) 
  • UVest Investment Services (CRD #: 13787) 
  • Royal Alliance Associates (CRD #: 23131) 
  • One Valley Securities Corporation (CRD #: 36910) 
  • UVest Investment Services (CRD #: 13787) 

Kurta Law Can Help 

If you have worked with Robert Earls and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com 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.

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