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Robert Montgomery Involved in Investor Dispute

Robert Montgomery (CRD #: 6214975), a broker registered with Charles Schwab & Company, was the subject of an investor dispute, according to his BrokerCheck record, accessed on July 19, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On April 23, 2025, an investor alleged that Robert Montgomery recommended the transfer of assets from the client’s employer and an annuity to Charles Schwab, resulting in losses with regard to taxes and cost basis. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without allowing an outside review. It’s still possible to recover damages following a denial and investors may want to pursue FINRA arbitration.

FINRA Rule 2010

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

Background Information

Robert Montgomery has passed the following exams:

  • General Securities Sales Supervisor – Options Module Examination – Series 9

  • General Securities Sales Supervisor – General Module Examination – Series 10

  • Securities Industry Essentials Examination – SIE

  • General Securities Representative Examination – Series 7

  • Uniform Combined State Law Examination – Series 66

  • Uniform Securities Agent State Law Examination – Series 63

Robert Montgomery is a registered broker in 14 states and a registered investment adviser in Florida.

He has also worked for Fidelity Brokerage Services (CRD#:7784).

Kurta Law Can Help

If you worked with Robert Montgomery 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 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. 

 

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