Securities Arbitration Investment Fraud Lawyers » Investment and Regulatory News » Investors Settle FINRA Arbitration Claim Against Edward Jones For Breach Of Fiduciary Duty

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Curtis Lee Howard (also known as Curt Howard), of Sapulpa, Oklahoma, a stockbroker registered with Edward Jones, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $60,000.00 in damages based upon allegations that Howard breached his fiduciary duties, was negligent, breached a contract, and committed fraud in connection with the recommendation and sale of investments when Howard was associated with Edward Jones. Financial Industry Regulatory Authority (FINRA) Arbitration No. 19-02887 (October 15, 2021).

This is not the first time that Howard has been referenced in a customer initiated investment related dispute concerning Howard’s conduct in the securities industry. FINRA Public Disclosure shows that Howard is also referenced in a complaint filed on October 14, 2008, in which the customer requested $5,000.00 in damages resulting from the customer not being made aware of the reduction of a death benefit on an annuity that was purchased by the customer during the time that Howard was associated with Edward Jones.

Howard was associated with Edward Jones in Sapulpa, OK, as a stockbroker from July of 1985 to September of 2017, and was associated with Edward Jones in St. Louis, MO, as an investment advisor representative from January of 2007 to September of 2017. On August 10, 2017, Edward Jones discharged Howard over concerns about his judgement and professionalism.

Howard was associated with Level Four Financial LLC in Mobile, AL, as an investment advisor representative from October of 2017 to December of 2021, and Level Four Advisory Services in Dallas, TX, as an investment advisor representative since December 21, 2021. He has been associated with Level Four Financial LLC in Sapulpa, OK, as a stockbroker since September 25, 2017.