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Tyler Gugliuzza Subject of Six-Figure Dispute

Tyler Gugliuzza (CRD #: 5792641), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on March 8, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

In a pending dispute filed on December 13, 2022, an investor named Tyler Gugliuzza and his firm Edward Jones in allegations that the firm failed to follow the client’s instructions to place them in more conservative investments. The investor is seeking $110,000 in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violated Rule 2010. 

Background Information

Tyler Gugliuzza has passed the following exams:

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

Tyler Gugliuzza is a registered broker in 14 states and a registered investment adviser in Louisiana and Texas.

Kurta Law Can Help

If you worked with Tyler Gugliuzza 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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