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Ryan Weise Allegedly Engaged in Misrepresentation

Ryan Weise (CRD #: 3201414), a broker registered with Kestra Investment Services, is the subject of an investor dispute. This dispute appears in his BrokerCheck record, accessed on September 15, 2023. Keep reading for more details. 

On July 31, 2023, investors alleged that Ryan Weise engaged in misrepresentations. The investors are seeking $400,000. 

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of material information, such as an investment’s potential returns, risks, or limitations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 may also violate this rule.

Background Information 

Ryan Weise has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in five states and is a registered investment adviser in Louisiana, North Carolina, and Texas. 

Ryan Weise has registered with the following firms: 

  • Kestra Investment Services (CRD #: 42046) 
  • Kestra Advisory Services (CRD #: 283330) 
  • Cetera Investment Advisers (CRD #: 105644) 
  • Cetera Investment Services (CRD #: 15340)
  • Hancock Whitney Investment Services (CRD #: 40637) 
  • Edward Jones (CRD #: 250) 
  • Capital One Financial Advisors (CRD #: 127236) 
  • Capital One Investments (CRD #: 17526) 
  • MetLife Securities (CRD #: 14251) 
  • Metropolitan Life Insurance Company (CRD #: 4095) 

Kurta Law Can Help

If you worked with Ryan Weise 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 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.

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