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Ross Vari Allegedly Failed to Follow Client’s Liquidation Instructions

Ross Vari (CRD #: 6959365), a broker registered with Edward Jones, allegedly failed to execute a client’s liquidation instructions, according to his BrokerCheck record, accessed on May 16, 2023. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On January 18, 2023, an investor alleged that Ross Vari failed to follow her instructions to liquidate and go to money market if her investments experienced losses beyond $10,000. This dispute was denied by the firm.

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

FINRA Rule 5310

FINRA Rule 5310 requires brokers to execute clients’ transactions according to their instructions and in a timely manner.

FINRA Rule 2010

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

Background Information

Ross Vari has passed the following exams:

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

Ross Vari is a registered broker in six states and a registered investment adviser in North Carolina.

Kurta Law Can Help

If you worked with Ross Vari 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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