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Investor Alleges Steven Doebber Failed to Follow Instructions

Steven Doebber (CRD #: 4423344), a broker registered with Northwestern Mutual Investment Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on August 7, 2022. Read on to learn more about his conduct as a broker.

Investor Dispute

On May 20, 2022, an investor alleged that Steven Doebber failed to follow instructions, leading to a loss in value of the client’s accounts. This dispute was denied.

Investors should be aware that firms don’t need to allow an external review before denying disputes. Investors may still be able to recover their funds 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

Steven Doebber 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 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Steven Doebber is a registered broker in 20 states and a registered investment adviser in Missouri.

He previously worked for Robert W. Baird & Company (CRD#: 8158).

Kurta Law Can Help

If you worked with Steven Doebber 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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