Victim of Financial Fraud? Call Now
Home » Broker Blog » Russell Ford is the Subject of a Regulatory Action in Indiana

Russell Ford is the Subject of a Regulatory Action in Indiana

Russell Ford (CRD #: 6199062), a previously registered broker with MML Investors Services, is the subject of a regulatory action in Indiana. This disclosure appears on his BrokerCheck record, accessed on August 28, 2024. Keep reading if you have questions concerning his alleged conduct. 

Regulatory Action 

On June 12, 2024, the Indiana Securities Division fined Russell Ford $3,250 and suspended him for six months. This followed allegations that while he served as the sole Investment Advisory Representative for Wayfinder his registrations terminated for failure to renew. The Division allegedly contacted him several times regarding his renewal. 

Russell Ford allegedly continued to offer investment advisory services during the period his registration had terminated. He allegedly eventually informed clients that Wayfinder had taken an “operational pause.” 

Indiana further alleged that he tripled one client’s fees and was unable to produce an agreed-upon amended fee schedule for the client. 

Background Information 

Russell Ford has passed the following exams: 

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

Kurta Law Can Help 

If you worked with Russell Ford and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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.

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories