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Investor Alleges Rocky Ward Failed to Follow Instructions

Nov 16, 2022 Investor Disputes

Rocky Ward (CRD #: 6714356), a broker registered with Edward Jones, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on November 5, 2022. Read on to learn more about his conduct as a broker.

Investor Dispute

On September 13, 2022, an investor alleged that Rocky Ward failed to follow his instructions to move his accounts to money market. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without an external review. Investors may be able to recoup their losses following a denial by pursuing FINRA arbitration after a denial.

FINRA Rule 2010

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

Background Information

Rocky Ward has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Rocky Ward is a registered broker in 25 states and a registered investment adviser in North Carolina and Texas.

Kurta Law Can Help

If you worked with Rocky Ward and you have concerns about your investments, please contact us today at 877-600-0098 or 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.