Last Updated: November 2023 (Heath, Texas)
Christy Earhart Investigation Summary
Here’s what you need to know about Heath, TX, stockbroker Christy Earhart:
- Name: Christy Joy Earhart
- Current Employer: Independent Financial Group
- DBA: Dave Smith Financial
- Previous Firms: Arque Capital Ltd.
- Function: Stock Broker/ Financial Advisor
- Aliases: Christy Melton, Christy Joy Thornbury, Christy Earhart
- Primary Location: Heath, TX
- CRD 3236699
- Can Christy Earhart be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $25,076
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Christy Earhart As Your Stockbroker?
A customer of Arque Capital was paid $25,076 in 5/2023 to settle a FINRA arbitration alleging that Christy Earhart made an unsuitable recommendation to purchase GWG bonds. GWG filed chapter 11 bankruptcy in April of 2022.
How to recover losses on GWG Bonds
Allegations of Broker Misconduct Against Christy Earhart
A customer of Christy Earhart alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to purchase GWG Bonds
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
See this for information on other investigations of Arque Capital brokers
If you have suffered investment losses in an account handled by Christy Earhart, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
