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Investor Receives Six-Figure Settlement in Dispute with Todd Bailey

Todd Bailey (CRD #: 6092793), a broker registered with Cambridge Investment Research, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on December 29, 2022. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On September 1, 2022, an investor named Todd Bailey in a dispute alleging that the client experienced certain tax implications due to the sale of a stock. The client sought $350,000 in damages and received a settlement of $240,000.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Todd Bailey has passed the following exams:

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

Todd Bailey is a registered broker in 17 states.

He has also worked for Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Todd Bailey 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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