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Investors Seek Six Figures in Dispute Involving Robert Walker

Robert Walker (CRD #: 1501658), a broker registered with Liberty Capital Investment Corporation, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 25, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On March 23, 2023, several investors filed a dispute against Liberty Capital Investment Corporation alleging that Robert Walker and another broker allowed clients’ family members and friends to withdraw funds without their permission.

The clients seek $572,100 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Robert Walker has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 99TO – Operations Professional Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Robert Walker is a registered broker in eight states and a registered investment adviser in Oregon and Washington.

He has also worked for the following firms:

  • Wachovia Securities (CRD#:19616)
  • A. G. Edwards & Sons (CRD#:4)
  • Ameritrade Northwest (CRD#:10215)
  • Integrated Resources Equity Corporation (CRD#:6403)
  • FSC Securities (CRD#:7461)

Kurta Law Can Help

If you worked with Robert Walker 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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