Stephen Haskell Facing a $250,000 Suitability Dispute

Stephen Haskell (CRD #: 6864948), a broker registered with FNEX Capital, is the subject of an investor dispute, according to his BrokerCheck record, accessed on December 19, 2023. Keep reading if you have questions regarding his alleged conduct. 

On November 14, 2023, an investor alleged that Stephen Haskell failed to conduct reasonable due diligence and engaged in negligence. They further alleged a failure to evaluate based on suitability as well as misrepresentation. The investor is seeking $250,000. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

The Suitability Rule 

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains information about the investor’s risk tolerance and financial goals. Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out FINRA arbitration.

Background Information 

Stephen Haskell has passed the following exams:

• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 22 Direct Participation Programs Representative Examination 

He is a registered broker in 50 states and D.C. 

During his six years of experience, Stephen Haskell has registered with three firms: 

• FNex Capital (CRD #: 166316) 
• Growth Capital Services (CRD #: 124658) 
• Welathforge Securities (CRD #: 152550)

Kurta Law Can Help 

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