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Ryan Culpepper Allegedly Failed to Follow Stock Order Instructions

Ryan Culpepper (CRD #: 4225424), a broker registered with Wells Fargo Clearing Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on June 27, 2023. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

In a dispute filed on April 11, 2023, an investor alleged that Ryan Culpepper failed to follow instructions to add sell-stop orders to all stock positions between September 14, 2022, and the date of filing. The firm denied the dispute.

However, investors should be aware that firms don’t need to permit an outside review before denying a dispute. Investors may be able to recover their losses 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

Ryan Culpepper has passed the following exams:

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

Ryan Culpepper is a registered broker in 27 states and Puerto Rico. He is also a registered investment adviser in North Carolina and Texas.

He has also worked for the following firms:

  • Morgan Stanley (CRD#:149777)
  • Citigroup Global Markets (CRD#:7059)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Prudential Securities (CRD#:7471)

Kurta Law Can Help

If you worked with Ryan Culpepper 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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