Tammie Richardson Allegedly Misrepresented Municipal Bonds

Tammie Richardson (CRD #: 3179595), a broker registered with Edward Jones, was recently involved in an investor dispute, according to her BrokerCheck record, accessed on August 20, 2022. Keep reading to learn more about her conduct as a broker.

Investor Dispute

On May 8, 2022, an investor alleged that Tammie Richardson misrepresented municipal bonds purchased in June and August 2020 by failing to make clear that these bonds were long-term investments that would not mature until the client turned 90. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without an outside review. Investors can still pursue FINRA arbitration following a denial and may be able to recover their losses.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulative, deceptive, and otherwise fraudulent tactics to influence the purchase and sale of securities. This includes the misrepresentation of an investment’s potential risks, limitations, and other features.

Background Information

Tammie Richardson has passed the following exams:

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

She is a registered broker in 22 states and a registered investment adviser in North Dakota and Texas.

Kurta Law Can Help

If you worked with Tammie Richardson 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.