Last Updated: March 2024 (Sapulpa, OK)
Curtis Howard Investigation Summary
Here’s what you need to know about Sapulpa, OK, stockbroker Curtis Howard:
- Name: Curtis Lee Howard
- Current Employer: LPL Financial
- DBA: Phoenix Wealth Partners, Cornerstone Wealth Portfolios
- Previous Firms: Level Four Financial, Edward Jones
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Curt Howard
- Primary Location: Sapulpa, Oklahoma
- CRD 1390753
- Can Curt Howard be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
- Highest Settlement or Award: $60,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Curtis Howard As Your Stockbroker?
In 2021 a customer of Edward Jones was paid $60,000 to resolve allegations that Curt Howard breached his fiduciary duty and was negligent in the handling of the customer’s account starting in 2015.
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
Allegations of Broker Misconduct Against Curtis Howard
A customer of Curt Howard has alleged the following wrongdoing in connection with the handling of customer accounts:
- Breach of Fiduciary Duty
- Negligence
- Breach of contract
- Common Law Fraud
- Fraud by nondisclosure
- Intentional infliction of emotional distress
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
If you have suffered investment losses in an account handled by Curt Howard, 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.
